Body

With the exception of the Commonwealth Coat of Arms, TEQSA’s logo, any material protected by a trade mark and where otherwise noted, all material presented in this document is provided under a Creative Commons Attribution 3.0 Australia licence.

The details of the relevant licence conditions are available on the Creative Commons website (accessible using the links provided) as is the full legal code for the CC BY 3.0 AU licence.

The document must be attributed as the TEQSA Regulator Performance Framework Report 2017–2018.

Contacts

More information about the Tertiary Education Quality and Standards Agency is available online.

Comments and enquiries about this report may be directed to:

Manager, Executive Office

Tertiary Education Quality and Standards Agency

GPO Box 1672

MELBOURNE VIC 3001

T: 1300 739 585

E: enquiries@teqsa.gov.au

Acknowledgements

This report reflects the efforts of many people. Special thanks go to TEQSA staff involved in contributing and coordinating material.

Certification by the TEQSA Accountable Authority

The Hon Dan Tehan MP

Minister for Education 

Parliament House

CANBERRA ACT 2600

30 November 2018

Dear Minister,

As the accountable authority of the Tertiary Education Quality and Standards Agency (TEQSA), we have pleasure in presenting to you TEQSA’s Regulator Performance Framework report for the year ended 30 June 2018.

TEQSA’s report has been prepared in accordance with the Regulator Performance Framework (RPF) released by the Commonwealth Government in October 2014. The RPF requires the accountable authority of the entity to give a report on the RPF to the entity’s responsible Minister for noting.

This report describes the progress made over the course of 2017–18 to meet the performance measures in the RPF, as self-assessed by TEQSA. The report has been reviewed and externally validated by the Higher Education Standards Panel.

In addition, we, as the accountable authority of TEQSA, have certified this report as required by the RPF. In our opinion, the TEQSA Regulator Performance Framework Report 2017–2018 accurately reflects the performance of TEQSA, and complies with the RPF.

Yours sincerely,

Professor Nicholas Saunders, AO    

Chief Commissioner

Professor Cliff Walsh        

Commissioner

Dr Linley Martin

Commissioner

The Higher Education Standards Panel

Professor Nicholas Saunders

Chief Commissioner

Tertiary Education Quality and Standards Agency

GPO Box 1672

Melbourne VIC 3001

Dear Professor Saunders

The Higher Education Standards Panel is pleased to provide formal external validation of the Tertiary Education Quality and Standards Agency’s (TEQSA) Regulator Performance Framework Report 2017–2018.

The Higher Education Standards Panel reviewed this report at its meeting of 9 November 2018. The Panel agreed that the self-assessment outcomes reported by TEQSA, which were based on qualitative and quantitative data collected by TEQSA, and the results of a sector-wide survey, met the requirements of the Regulator Performance Framework.

The Higher Education Standards Panel is therefore happy to externally validate the report, prior to it being formally certified by the accountable authority and submitted to the Minister for Education for noting.

Yours sincerely

The Higher Education Standards Panel

Professor Ian O’Connor AC, Chair

On behalf of:

Professor Kerri-Lee Krause (Deputy Chair), Professor Kent Anderson, Dr Krystal Evans, The Hon Phil Honeywood, Dr Sadie Heckenberg, Ms Adrienne Nieuwenhuis, Dr Don Owers AM (Members)

9 November 2018

50 Marcus Clarke Street, Canberra ACT 2600

 

1. Introduction

1.1 Background

The Commonwealth Government released its Regulator Performance Framework (RPF) in October 2014. The RPF was developed in consultation with a range of stakeholders, and consists of six outcomes-based key performance indicators (KPIs) covering:

• reducing regulatory burden
• communications
• risk-based and proportionate approaches
• efficient and coordinated monitoring
• transparency
• continuous improvement.

Commonwealth regulators that administer, monitor or enforce regulation are required to implement the RPF. 

TEQSA is required to self-assess its performance, and then obtain external validation of that self-assessment. The Higher Education Standards Panel has provided this external validation and the TEQSA accountable authority has certified the report. The report has been provided to the Minister for Education for noting.

TEQSA’s RPF consists of the following six KPIs:

1. Regulation by TEQSA does not unnecessarily impede the efficient operation of higher education providers
2. TEQSA’s communication with higher education providers is clear, targeted and effective
3. Regulatory actions undertaken by TEQSA are proportionate to the risks being managed
4. TEQSA’s compliance and monitoring approaches are streamlined and coordinated
5. TEQSA’s dealings with higher education providers are open, transparent and consistent
6. TEQSA’s regulatory framework continues to be improved in consultation with stakeholders.

These evidence metrics were published on the TEQSA website. For more information, refer to TEQSA’s Regulator Performance Framework 2015-16 (Version 1.0).

1.2 Basis of self-assessment

The RPF report is based on operational qualitative and quantitative data and the results of a sector-wide survey completed in June 2018. The sector-wide survey was based on TEQSA’s Regulator Performance Framework 2015-16 (Version 1.0).

All of the operational data and most of survey results also appear in the TEQSA Annual Report 2017–2018.

1.2.1 Operational data

Operational data considered for the RPF includes metrics relating to:

• risk ratings and outcomes of decisions
• decision-making timeframes
• feedback from direct engagement with the sector (for example from provider briefings)
• statistics on website views and document downloads for reports and support materials published by TEQSA.

All operational data can be found in the TEQSA Annual Report 2017-18.

1.2.2 About the survey

The 2018 survey consisted of:

• a provider-specific version, sent to all registered providers as well as those who had submitted initial registration applications. The survey was for completion by the principal contact and included a section for Vice-Chancellors and Chief Executive Officers (VC/CEO) to offer comments
• a brief survey for the operational head of selected peak/professional/student bodies.

The survey was sent to 235 principal contacts from higher education providers and 42 representatives from peak, professional and student bodies (PPSBs). A total of 156 principal contacts and 24 PPSBs completed the survey, representing a response rate of 66 per cent and 57 per cent respectively. A summary of the results against each of the KPIs for 2017 18 compared with 2016-17 for both groups is at Appendix A.

The objective of the survey was to obtain feedback to increase TEQSA’s accountability, better understand its impact on higher education providers, and improve its performance. The use of the survey results in the publicly-reported TEQSA RPF is part of TEQSA’s approach to increase its transparency and accountability. Consistent with this approach, a summary of the results of the TEQSA Stakeholder Survey 2018 will be published in conjunction with this report on the TEQSA website.

1.2.3 Reporting period

This report is for the 2017–18 financial year.

1.2.4 Enquiries

For enquiries relating to this report, contact enquiries@teqsa.gov.au.

2. Executive summary

The 2017-18 self-assessment against the RPF describes how the agency has responded to feedback received from stakeholders through direct engagements and the annual survey. 

The assessment highlights the continuing achievements against the RPF and the declining relevance of some of the performance indicators established in 2015. The incorporation of the six KPIs in corporate planning and the use of feedback from stakeholders have firmly aligned the agency with the intended effect of the RPF.

The assessment also reveals the change in the areas of concern to providers. In 2015, stakeholders were concerned about the time taken to publish decisions, and the timeliness referred to in the targets of KPI 2 reflects this concern. Since then, stakeholders have been primarily concerned about the time taken to make the decisions themselves as the time taken from submission to decision deteriorated in 2016-17, and then further in 2017-18. These matters have been taken into account in the TEQSA Corporate Plan 2018-22 and are discussed in detail in TEQSA’s Annual Reports of 2016-17 and 2017-18.

The assessment against each of the KPIs of the RPF demonstrated that all but one of the targets was achieved for 2017-18. In the case of KPI 1, there was a decrease in the percentage of stakeholders that rated the agency as good or excellent in relation to the target use of a case management model for regulatory purposes allowing tailoring of processes according to circumstances of individual providers. Comments from stakeholders indicated that the turnover in assessment staff added regulatory burden due to the loss of TEQSA corporate memory and expertise in relation to provider operations. This reduction in satisfaction first appeared in the 2017 survey and, as more providers have experienced an assessment since the reduction in TEQSA’s staffing, the experience of the consequent lack of continuity has spread across providers. As stated in the TEQSA Annual Report 2017-18 and reflected in the TEQSA Corporate Plan 2018-22, the additional funding and staffing from the 2018-19 Budget will greatly assist the agency to address the concerns of providers regarding staff turnover and the time taken for decision making. While recruitment and training of new staff will assist in improving the efficiency of assessment, the agency has also commenced a further review of its assessment processes.

2.1 RPF results at a glance

Table 1 summarises the annual results against TEQSA’s RPF KPIs for 2017-18 and shows that all but one of the targets related to the RPF were achieved in 2017-18. KPI 1 was only partially achieved because the stakeholder survey results show a decrease in the percentage of respondents that rated the agency as good or excellent compared with 2016-17.

Table 1. Results of self-assessment against TEQSA’s RPF KPIs for 2017-18

RPF Key Performance Indicator	2017-18 Result
Regulation does not unnecessarily impede the efficient operation of higher education providers	Partially achieved
TEQSA’s communication with higher education providers is clear, targeted and effective	Achieved
Regulatory actions undertaken by TEQSA are proportionate to the risks being managed	Achieved
TEQSA’s compliance and monitoring approaches are streamlined and coordinated	Achieved
TEQSA’s dealings with higher education providers are open, transparent and consistent	Achieved
TEQSA’s regulatory framework continues to be improved in consultation with stakeholders	Achieved

3. Performance by KPI

KPI 1 – Regulation by TEQSA does not unnecessarily impede the efficient operation of higher education providers

The following targets were used to assess performance against KPI 1:

• evidence of regular, constructive consultation with the sector
• a series of reductions in administrative burden already achieved, with further progress planned
• engagement with international agencies to contribute to development of transnational policy
• the use of a case management model for regulatory purposes allowing tailoring of processes according to circumstances of individual providers.

As in previous years, TEQSA regularly engaged with the sector at the individual provider level as well as through provider peak bodies. Additionally, as detailed in the TEQSA Annual Report 2017-18¹, a specific roundtable consultation was undertaken with for-profit, not-for-profit and TAFE providers in response to the stakeholder survey results for 2017. Feedback from this consultation informed TEQSA’s decision to review the approach to case management to enhance use of a partnership model. This objective has been incorporated in planning for 2018-22². 

Since 2016-17, the risk-differentiated Core+ methodology has been applied to the scope of all TEQSA assessments except for the assessment of initial registration applications. In 2017-18, the TEQSA high risk provider policy was published to further guide risk analysis and regulatory interventions. The policy establishes a set of principles that ensure greater differential treatment of providers based on their risk rating. It further demonstrates the agency’s increasing focus on those providers that present the highest risk to students, and correspondingly, narrows the scope of scrutiny given to providers rated as low risk. This reduced scope is also applied through reduced evidence requirements for subsequent assessments of renewal of registration applications from low-risk providers. Also in 2017-18, the agency commenced an enhanced monitoring project to improve the way the agency uses information to quality assure and regulate higher education providers³.

TEQSA’s international engagement continues to play an important role in protecting, enhancing and promoting the quality and integrity of Australia’s higher education sector internationally. In 2017-18, the agency continued its involvement in quality assurance networks, including participation in the University Quality Assurance Forum and the Australia India Education Council’s workshop on online education. Agency staff also participated in a pilot joint assessment aimed at determining the equivalency of the accreditation processes of Australia and Hong Kong. TEQSA also signed or renewed Memoranda of Cooperation with seven peak international bodies. Further details of this involvement can be found in the TEQSA Annual Report 2017-18⁴. 

The average 2018 stakeholder survey results for KPI 1 overall found a decrease in the percentage of providers that rated the agency as good or excellent (56 per cent) compared with 2017 (66 per cent)⁵. As in past years the vast majority of providers rated case management as very important, but providers’ rating of their experience of the case management approach dropped in relation to responsiveness, consideration of the needs of the provider, and TEQSA’s knowledge of the provider. As also reported in last year’s RPF Report, respondents commented on the turnover of case managers and the lack of case manager engagement with providers⁶.

Self-assessment – partially achieved

Although the agency continued to develop and implement initiatives to further reduce unnecessary regulatory burden on providers during 2017-18, the continued turnover in case managers contributed to a decrease in the percentage of providers that rated the agency as good or excellent in relation to KPI 1. As reported above, this feedback has been taken into account in planning for 2018-22 and a revised case management approach is being developed and implemented that will include enhanced use of a partnership model. 

KPI 2 – TEQSA's communication with higher education providers is clear, targeted and effective

The following targets were used to assess performance against KPI 2:

• TEQSA’s decisions are provided in a timely manner, clearly articulating the reasons for decisions
• TEQSA gives all higher education providers a reasonable opportunity to address matters relevant to a decision by TEQSA before making a decision that affects the provider
• specific consultation with the sector occurs before proposed changes are made to TEQSA’s practices
• comprehensive current guidance material for regulatory policies and processes is publicly available and updated
• all general information that is required by providers is current and publicly available.

As reported in previous TEQSA RPF reports, TEQSA continued to make recommended adverse findings available to applicants before a decision was made, with the applicant being provided with the reasons for the proposed decision and allowed a reasonable opportunity to comment. The comments provided were taken into account in making the final decision. In 2017-18, this process  applied to a larger proportion of re-registration decisions that in previous years as there was an increase in the proportion of renewal of registration assessments with an adverse decision compared with previous years⁷.

In relation to guidance material, new guidance notes were published in 2017-18 on Credit and RPL, Grievance and Complaint Handling and Workforce Planning. The guidance note on Wellbeing and Safety was also released for comment, and revised based on feedback received during the year⁸. The first in a new series of materials in the form of a good practice note on Addressing Contract Cheating to Safeguard Academic Integrity was also released in 2017-18⁹.  

In relation to access to general information, from the launch of the new TEQSA website in November 2017 to 30 June 2018 there were over 40,000 page views of the information about TEQSA’s guidance notes¹⁰. In addition, the 2018 Stakeholder Survey found that the majority of providers rated the clarity of application guides (70 per cent) and online forms (69 per cent), helpfulness of information about how to prepare an application (66 per cent) and portal information (66 per cent), and the clarity of the assessment scope and evidence requirements (65 per cent) as good or excellent¹¹. This result was lower than achieved in 2017 where the results were between 69 and 78 per cent¹². With regard to guidance and support materials, between 83 and 91 per cent of stakeholders rated the relevance, quality, usefulness, accessibility and quantity of information as good or excellent, which is a similar result to that achieved in 2017¹³.

Self-assessment – achieved

The agency continues to consult the sector on changes to practices and to produce guidance notes to assist providers. Guidance notes on the new TEQSA website continue to be frequently accessed, and the guidance notes appear to be highly valued. 

KPI 3 – Regulatory actions undertaken by TEQSA are proportionate to the risks being managed

The following targets were used to assess performance against KPI 3:

• a comprehensive capacity for multifactorial risk analysis of all provider types
• integration of risk analysis and regulatory decision making, by use of comprehensive detailed current datasets gathered and maintained to inform risk analyses and regulatory interventions
• progressive development of the scope and application of the differentiated model (known as Core+) to further reduce burden on demonstrated low-risk providers.

In 2017-18, TEQSA reviewed and made technical changes to its Risk Assessment Framework, process, risk tools and systems to align with the Higher Education Standards Framework (Threshold Standards) 2015 and published the updated Risk Assessment Framework in April 2018. Cycle 5 of the annual provider risk assessments was completed in late 2017. Risk assessments for standalone English Language Intensive Courses for Overseas Students (ELICOS) and Foundation Studies providers were delayed due to the release of revised ELICOS Standards¹⁴. 

As in previous years, an analysis of risk profiles of providers and the outcome of regulatory decisions on renewal of registration applications in 2017-18 demonstrated a strong relationship of risk and assessment outcomes¹⁵ with 75 per cent of providers rated as moderate or high risk receiving an adverse decision and 100 per cent of providers rated as low risk receiving a positive decision¹⁶. In the case of course accreditations and renewals of accreditation, only a very small number of applications were submitted during 2017-18 by low risk providers, thereby limiting conclusions that could be drawn about the relationship between provider risk rating and regulatory outcomes for courses¹⁷.

In 2017-18, all renewal applications were assessed in accordance with the Core+ methodology, and the agency developed further guidance to support assessment staff in applying the regulatory principles of necessity, risk and proportionality. The agency also commenced planning for a review of the approach to assessment of providers previously assessed by TEQSA.

The average stakeholder survey result in relation to this KPI fell from the previous year¹⁸ (from 57 per cent in 2017 to 52 per cent in 2018). Discussions with providers have revealed a need for further information about risk assessments and how they are used by TEQSA. Communication on this topic has been incorporated in planning for 2018-19.

Self-assessment – achieved

TEQSA has updated the Risk Assessment Framework to ensure the relevance of annual risk assessments to regulatory work. The relationship between assessment outcomes and the risk ratings demonstrate the appropriateness of the risk-based approach, with further developments planned for ELICOS and Foundation Studies providers. Further internal materials were developed during the year to clarify the application of the regulatory principles and to support a consistent approach to regulatory assessment and decision making.

KPI 4 – TEQSA's compliance and monitoring approaches are streamlined and coordinated

The following targets were used to assess performance against KPI 4:

• collaboration with the Department of Education and Training (the department) to streamline and automate data collection on providers, and enhance access and sharing
• collaboration with professional bodies to enhance data sharing and thus reduce regulatory burden on providers that are regulated by both TEQSA and a professional body
• specific interactions with international regulatory agencies, as warranted, for assessments of cross-border education from Australian providers
• demonstrated transparency of inspection and monitoring arrangements.

In 2017-18, agency staff regularly met with departmental officers to ensure the national data collection was fit for purpose and available for annual risk assessments. A Memorandum of Understanding with the department about sharing of information has been maintained. For providers that do not report through the department’s Higher Education Information Management System (HEIMS), TEQSA collected information through a provider information request under section 28 of the Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act).

TEQSA currently has 25 agreements in place with professional bodies, and signed or renewed agreements with seven bodies in 2017-18¹⁹. The agency continued to meet quarterly with CPA Australia to share information about providers of accounting courses. TEQSA also contributed to reviews of professional accreditation, including for the health professions, that sought to reduce duplication in requirements for providers delivering courses that require professional accreditation.

In late 2017, TEQSA undertook a joint assessment with the Hong Kong Council for Accreditation of Academic and Vocational Qualifications of a course delivered by a third party on behalf of an Australian university. The key purpose of the exercise was to determine the equivalence of the accreditation processes of the two agencies as a first step to reducing duplication in international quality assurance. This information will also be used as part of the renewal of registration assessment of the Australian university.

For KPI 4, an average of 52 per cent of providers rated TEQSA as good or excellent in the 2018 survey which is comparable with the 2017 results (average of 55 per cent)²⁰.

Self-assessment – achieved

TEQSA has continued to seek and engage in opportunities to improve the use of data and to collaborate with relevant national and international groups to improve coordination of actions on providers. This collaboration is taking time to develop into changed processes for professional accreditation, as many pre-date the establishment of TEQSA. TEQSA has effectively utilised its association with international quality networks to share information with a view to building shared approaches to quality assurance to further enhance monitoring of the sector and focus regulatory intervention where there is the greatest risk.

KPI 5 – TEQSA's dealings with higher education providers are open, transparent and consistent

The following targets were used to assess performance against KPI 5:

• a clear publicly-available risk framework and articulated risk analysis process
• transparency in the results of the regulatory decision-making process
• public sharing of aggregate observations of performance and risks derived from regulatory experience with the sector, through publication of analytical reports
• a consultative approach taken for new application guides and guidance notes for the transition to the Higher Education Standards Framework (Threshold Standards) 2015.

Consistent with previous years, the agency continued to make the Risk Assessment Framework available on the TEQSA website with the updated Framework published in April 2018. This was viewed over 1,800 times by 30 June 2018²¹. As noted in KPI 3, discussions with providers in 2018 revealed the need to provide further information regarding the risk assessment process.

In 2017-18, TEQSA continued to maintain and update the National Register of Higher Education Providers (National Register). As reported in the TEQSA Annual Report 2017-18, the National Register was viewed more than 230,000 times since the launch of the new TEQSA website in November 2017. Stakeholders continued to rate the quality of the information on the National Register highly, with 74 per cent of providers rating the quality of the information on the National Register as good or excellent, a slight decrease from the previous year’s result of 79 per cent²².

In November 2017, TEQSA released the third edition of the Key financial metrics on Australia’s higher education sector. The report included a special focus on newly registered providers. The annual statistics report and a report on the assessment insights gathered from analysis of assessment outcomes were prepared during 2017-18, and these reports were released in early 2018-19. 

As outlined under KPI 2, guidance notes continued to be heavily accessed and highly rated by providers. New guidance notes continued to be developed in response to identified needs of providers. In 2017-18, the agency also engaged with prospective providers through a joint workshop with the Council of Private Higher Education Providers and through targeted individual meetings with prospective providers. 

The average stakeholder survey results for 2018 indicate a decrease in the proportion of stakeholders that rated the agency good or excellent for KPI 5, from 68 per cent in 2017 to 62 per cent in 2018²³. 

Self-assessment – achieved

In 2017-18, TEQSA continued to prepare and provide information to inform providers and other stakeholders about regulation of the sector. This program of work is now well established and responding to meet the changing needs of providers and other stakeholders. 

KPI 6 – TEQSA's regulatory framework continues to be improved in consultation with stakeholders

The following targets were used to assess performance against KPI 6:

• well-established, productive consultative mechanisms with stakeholders, and use of a variety of media and channels to convey information to stakeholders
• regular engagement with the Minister for Education and the department.

In addition to the consultations reported under KPI 2 and individual engagements of Commissioners and senior staff at higher education conferences and meetings, the agency held the first of two roundtable events to discuss areas where TEQSA could improve based on the TEQSA Stakeholder Survey 2017. The feedback from these sessions informed the development of the TEQSA Corporate Plan 2018-22. 

In late 2017, the agency established a Student Expert Advisory Group. The Group met in March and July 2018 and discussed the role of TEQSA and how the agency can engage with the wider higher education student community. 

The agency launched a new website in November 2017 that incorporated feedback from external stakeholders. The second TEQSA conference was held in late November 2017 with almost 800 registrations including 65 sponsored students for the three-day event. Students featured prominently in the conference consistent with the theme of Students, Quality, Success.

An occasional forum series was launched on 2017-18, with forums held on student attrition and contract cheating. Both forums were well attended and accompanied by published reports, made available through the TEQSA website and in hardcopy.

As identified in KPI 4, TEQSA staff regularly meet with officers from the department to ensure the national data collection is fit for purpose. TEQSA also regularly meets with other agencies, including the regulator of the vocational education and training sector, the Australian Skills Quality Authority (ASQA) and other regulators to share information about prospective and current providers and their related entities. 

In 2017-18, TEQSA and ASQA negotiated an approach for coordinated assessment of dual-sector providers based on periodic sharing of findings rather than through joint assessment. The joint register of risk profiles for dual-sector providers was maintained and used by assessment staff to establish evidence requirements and inform the scope of assessment.

The TEQSA Commissioners and CEO met regularly with the Higher Education Standards Panel during 2017-18. Key topics discussed included: the regulatory impact of professional accreditation; the sector’s response to sexual assault and sexual harassment; and the review of the impact of the TEQSA Act.

The average stakeholder survey results for this KPI show a drop in satisfaction compared with 2017 where 61 per cent of providers rated the agency as good or excellent, compared with 57 per cent in 2018²⁴. The drop was particularly evident in relation to making process improvements where the proportion of providers that rated the agency as good or excellent dropped from 62 per cent in 2017 to 52 per cent in 2018²⁵. In relation to this measure, TEQSA acknowledges the further deterioration in the time taken to make decisions as reported in the TEQSA Annual Report 2017-18²⁶. 

Self-assessment – achieved

During 2017-18, TEQSA broadened both the type and scale of its engagement with stakeholders, and stakeholder feedback was regularly used to review the regulatory approach and for planning. This is reflected in the TEQSA Corporate Plan 2018-22 which focusses on the key areas of concern regarding the time taken to complete assessments and make decisions, and the relationship between providers and assessment staff. The agency is also continuing to refine its engagement with other regulators, particularly ASQA and also professional accreditation bodies, to increase its use of data and responsiveness to risks. 

Appendix A – Comparison of stakeholder survey results

Table 2 summarises the results of the survey of providers about 2017-18 activity compared with 2016-17 for each KPI. 

Table 2. Summary of provider principal contact ratings, 2017 and 2018

		% OF SCORES AS GOOD OR EXCELLENT
		PROVIDER (2018)		PROVIDER (2017)
KPI 1 - Regulation by TEQSA does not unnecessarily impede the efficient operation of higher education providers		55.8		66.0
KPI 2 - TEQSA’s communication with higher education providers is clear, targeted and effective		63.8		71.7
KPI 3 - Regulatory actions undertaken by TEQSA are proportionate to the risks being managed		51.7		57.0
KPI 4 - TEQSA’s compliance and monitoring approaches are streamlined and coordinated		51.6		54.9
KPI 5 - TEQSA’s dealings with higher education providers are open, transparent and consistent		61.5		67.6
KPI 6 - TEQSA’s regulatory framework continues to be improved in consultation with stakeholders		57.2		60.8
Overall		71.1		79.7

Table 3 presents the results for Peak Professional and Student Bodies (PPSB). With the exception of KPI 4, the results for PPSB respondents are consistent with or better than those observed in 2017.

Table 3. Summary of Peak Professional Student Bodies (PPSB) scores, 2017 and 2018

	% OF SCORES AS GOOD OR EXCELLENT
	PPSB (2018)		PPSB (2017)
KPI 1 - Regulation by TEQSA does not unnecessarily impede the efficient operation of higher education providers	93.7		91.7
KPI 2 - TEQSA’s communication with higher education providers is clear, targeted and effective	87.1		84.6
KPI 3 - Regulatory actions undertaken by TEQSA are proportionate to the risks being managed	93.3		89.5
KPI 4 - TEQSA’s compliance and monitoring approaches are streamlined and coordinated	80.0		85.0
KPI 5 - TEQSA’s dealings with higher education providers are open, transparent and consistent	91.3		88.9
KPI 6 - TEQSA’s regulatory framework continues to be improved in consultation with stakeholders	79.0		66.7
Overall	100.0		87.5

Notes

1. TEQSA Annual Report 2017-18 pp.44 and 47.
2. TEQSA Corporate Plan 2018-22 pp.12 and 16.
3. TEQSA Annual Report 2017-18 p.27.
4. TEQSA Annual Report 2017-18 pp.28–29, and 41.
5. TEQSA Stakeholder Survey 2018 pp.8-9 and 23.
6. TEQSA Stakeholder Survey Report 2018 pp.18-19.
7. TEQSA Annual Report 2017-18 p.36.
8. TEQSA Annual Report 2017-18 p.9.
9. TEQSA Annual Report 2017-18 p.8.
10. TEQSA Annual Report 2017-18 p.49.
11. TEQSA Stakeholder Survey 2018 pp.16 and 23-24.
12. TEQSA Stakeholder Survey 2018 pp.23-24.
13. TEQSA Stakeholder Survey 2018 pp.20-21 and 24.
14. TEQSA Annual Report 2017-18 p.37.
15. TEQSA Annual Report 2017-18 p.38.
16. An adverse decision includes conditions, rejection or less than 7-year registration.
17. TEQSA Annual Report 2017-18 p.38.
18. TEQSA Stakeholder Survey 2018 pp.10-11 and 23-24.
19. TEQSA Annual Report 2017-18 p.40.
20. TEQSA Stakeholder Survey 2018 pp.11-12 and 24.
21. TEQSA Annual Report 2017-18 p.37.
22. TEQSA Stakeholder Survey 2018 p.12.
23. TEQSA Stakeholder Survey 2018 pp.12 and 23-24.
24. TEQSA Stakeholder Survey 2018 pp.13-14 and 23-24.
25. TEQSA Stakeholder Survey 2018 pp.13-14 and 23.
26. TEQSA Annual Report 2017-18 pp.32-33.

Body

The Tertiary Education Quality and Standards Agency (TEQSA) is responsible for regulating Australia’s higher education providers to protect and enhance Australia’s reputation for high quality higher education. TEQSA has published a summary of its regulatory decisions from 1 July 2018 until 30 September 2018. 

What are TEQSA decisions?

Each week, TEQSA makes regulatory decisions. These may be on the registration of new providers or the reregistration of existing providers. For the providers that do not have the power to accredit their own courses, TEQSA also makes decisions whether to accredit or re-accredit their courses. There are many legal, compliance and quality assurance measures which a higher education provider must demonstrate in order for TEQSA to allow a provider entry to Australia’s higher education sector.

In order to make these decisions, TEQSA must be satisfied that a provider complies with the Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act) and the Higher Education Standards Framework, the standards framework underpinning the TEQSA Act.

TEQSA’s regulatory approach is standards and principles-based. It is guided by three regulatory principles: regulatory necessity, reflecting risk and proportionate regulation, when exercising its powers. TEQSA’s regulatory decisions are taken by its Commission, or by senior members of TEQSA staff under delegation from the Commission.

More information about TEQSA’s approach is available at Our regulatory approach page.

Where do I find more information about TEQSA’s decisions?

Detailed public reports on individual decisions are available on the National Register of higher education providers. 

For media interviews

Please contact comms@teqsa.gov.au

Decision Date	Provider	Decision Description	Number of Conditions	Period Length
17-Jul-18	Leaders Institute Pty Ltd	Register new provider	2	4 years, 5 months
17-Jul-18	Leaders Institute Pty Ltd	Accredit new course (x2)	-	4 years, 5 months
18-Jul-18	Deakin University	Renew registration of existing provider	-	7 years
25-Jul-18	Engineering Institute of Technology Pty Ltd	Accredit new course (x1)	1	7 years
25-Jul-18	Engineering Institute of Technology Pty Ltd	Accredit new course (x5)	-	7 years
15-Aug-18	Raffles College Pty Ltd	Extend accreditation of existing course (x2)	3	1 year, 3 months
21-Aug-18	Crown Institute of Higher Education Pty Ltd	Register new provider	6	4 years
21-Aug-18	Crown Institute of Higher Education Pty Ltd	Accredit new course (x2)	-	4 years
12-Sep-18	Centre for Pavement Engineering Education Incorporated	Renew accreditation of existing course (x2)	-	7 years
14-Sep-18	Australian College of the Arts Pty Ltd	Accredit new course (x2)	-	7 years
24-Sep-18	Newcastle International College Pty Ltd	Accredit new course	-	7 years

Body

The Tertiary Education Quality and Standards Agency (TEQSA) is responsible for regulating Australia’s higher education providers to protect and enhance Australia’s reputation for high quality higher education. TEQSA has published a summary of its regulatory decisions from 1 April 2018 until 30 June 2018. 

What are TEQSA decisions?

Each week, TEQSA makes regulatory decisions. These may be on the registration of new providers or the reregistration of existing providers. For the providers that do not have the power to accredit their own courses, TEQSA also makes decisions whether to accredit or re-accredit their courses. There are many legal, compliance and quality assurance measures which a higher education provider must demonstrate in order for TEQSA to allow a provider entry to Australia’s higher education sector.

In order to make these decisions, TEQSA must be satisfied that a provider complies with the Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act) and the Higher Education Standards Framework, the standards framework underpinning the TEQSA Act.

TEQSA’s regulatory approach is standards and principles-based. It is guided by three regulatory principles: regulatory necessity, reflecting risk and proportionate regulation, when exercising its powers. TEQSA’s regulatory decisions are taken by its Commission, or by senior members of TEQSA staff under delegation from the Commission.

More information about TEQSA’s approach is available at Our regulatory approach page.

Where do I find more information about TEQSA’s decisions?

Detailed public reports on individual decisions are available on the National Register of higher education providers. 

For media interviews

Please contact comms@teqsa.gov.au

Decision Date	Provider	Decision Description	Number of Conditions	Period Length
11-Apr-18	Kent Institute Australia Pty Ltd	Renew registration of existing provider	6	4 years
11-Apr-18	Kent Institute Australia Pty Ltd	Renew accreditation of existing course (x2)	-	4 years
12-Apr-18	Nan Tien Institute Limited	Accredit new course	-	7 years
24-Apr-18	Christian Heritage College	Accredit new course (x3)	1	7 years
26-Apr-18	Harvest Bible College Ltd	Withdrawal of Registration	-	-
26-Apr-18	University of Southern Queensland	Renew registration of existing provider	1	7 years
27-Apr-18	ICHM Pty Ltd	Accredit new course (x3)	-	7 years
4-May-18	Australian College of the Arts Pty Ltd	Accredit new course (x2)	2	4 years
4-May-18	Australian Institute of Business and Management Pty Ltd	Accredit new course	1	4 years
9-May-18	Top Education Group Pty Ltd	Authorised provider to self-accredit courses	-	7 years
17-May-18	Melbourne Institute of Business and Technology Pty Ltd	Accredit new course (x5)	-	7 years
21-May-18	Group Colleges Australia Pty Ltd	Renew registration of existing provider	7	1 year, 6 months
23-May-18	Australian Institute of Business and Management Pty Ltd	Renew accreditation of existing course (x3)	-	4 years
29-May-18	Kaplan Higher Education Pty Ltd	Accredit new course	3	7 years
22-Jun-18	Colleges of Business and Technology (WA) Pty Ltd	Accredit new course	-	7 years
26-Jun-18	Jazz Music Institute Pty Ltd	Accredit new course	-	7 years
26-Jun-18	The Australian Institute of Music Limited	Accredit new course (x3)	-	7 years
27-Jun-18	Australian College of Nursing Ltd	Accredit new course	-	7 years
27-Jun-18	TAFE SA	Accredit new course (x2)	2	4 years
28-Jun-18	International College of Management, Sydney Pty. Limited	Renew accreditation of existing course (x2)	-	7 years

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Wells Advisory was commissioned by TEQSA in July 2021 to undertake the analysis presented in Forward impact of COVID-19 on Australian higher education. The purpose of the analysis was to broaden understanding of the impacts of the COVID-19 pandemic on Australia’s higher education system.

The analysis provides TEQSA with a contemporary snapshot and additional contextual information to complement TEQSA’s own information sources and existing work, including the extensive data collections analysed through TEQSA’s risk assessment activity. 

The analysis confirms our understanding of the role that the pandemic has played in accelerating many of the trends and changes that were already occurring in Australia’s higher education system, in particular the shift to blended and online delivery of programs. These have combined with other structural impacts of COVID, including moves to diversify international student delivery away from the dominance of inbound (and substantially on-campus and face-to-face learning) to hybrid models that will increasingly incorporate the delivery of Australian higher education awards online, offshore and through third party arrangements. In part, this shift has been driven by the desire to support and retain students who have been unable to enter Australia, but has also been viewed as an opportunity to reach additional cohorts of students. With this diversification comes heightened risks related to the rigour of third-party arrangements, the management of agents and the quality of the delivery and the student experience.

These trends and other issues discussed in the report, including impacts on the short to mid-term ongoing financial viability of providers, highlight emerging and additional risks to the quality of higher education and the integrity of the sector. For example, TEQSA is already seeing emerging behaviours within the sector around competition for students and admission practices which may undermine recent gains made through the admissions transparency work of the Higher Education Standards Panel and TEQSA.  

TEQSA considers that the report provides useful insights into trends and developments in Australia’s higher education sector as a result of the COVID-19 pandemic, setting these in the context of higher education policy reforms that have recently taken place or been announced.  

The issues identified in the report raise the likelihood of a period of ongoing uncertainty for the sector with the potential for increased risks to the delivery and quality of higher education and its consequent impact on students and the reputation of the sector. It is also incumbent upon TEQSA to consider the impacts and challenges for its regulatory model and practice in assuring the government and community of ongoing excellence in Australian higher education.

TEQSA publishes the Forward impact of COVID-19 on Australian higher education in the interests of further engagement with the sector, government and broader community.

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Register guidelines 

The Tertiary Education Quality and Standards Agency (Register) Guidelines 2017 (Register Guidelines) is a legislative instrument that sets out the information that TEQSA must enter on the national register in respect of each registered higher education provider.

• View the Register Guidelines and the National Register

Currently the Register Guidelines require TEQSA to include the name of each registered provider, as well as its ABN, business name(s) used for higher education operations, head office address, website address and titles of courses accredited by TEQSA.

Including the details of each provider’s principal contact officer and the Chief Executive Officer, would assist TEQSA to maintain current and accurate contact information for each registered provider. This is because section 29 of the Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act) requires providers to notify TEQSA of an event that will require the national register to be updated. The proposed change will provide clarity to providers in terms of the requirement to notify TEQSA when there are changes in specific roles. This change would also bring TEQSA in line with training.gov.au, the equivalent national register for the vocational education and training sector. 

With the introduction of the new Provider Category Standards, the ‘Australian University of Specialisation’ category has been removed. The proposed new requirement to state that an Australian University has a specialised focus, where relevant, offers a mechanism to publicly record that there is a relevant specialisation.

Information guidelines 

Section 204 of the TEQSA Act allows TEQSA to make, by legislative instrument, Information Guidelines to give effect to the requirements of subsection 189.

The Information Guidelines is a legislative instrument that sets out the Commonwealth authorities and the State or Territory authorities to which the Tertiary Education Quality and Standards Agency (TEQSA) may disclose higher education information under sections 189 and 194 of the TEQSA Act.

The inclusion of these bodies will ensure that TEQSA is capable of sharing relevant information about matters involving registered higher education providers.

Consultation process

This paper is being made available on our website and has been sent directly to peak bodies for providers regulated by TEQSA under the TEQSA Act.

TEQSA requests that feedback on the proposed amendments to the Register and Information Guidelines, along with any other relevant feedback, be submitted via email to review@teqsa.gov.au.

Submissions close at 5:00pm [AEDST] on Friday 26 November 2021.

Interested parties can also email review@teqsa.gov.au with queries about this consultation, or to seek clarification regarding the proposed amendments.

Please note that TEQSA intends to publish a summary of submissions received. If you do not wish for your submission (or part of your submission) to be published, please indicate this in your response. TEQSA may alter the format or content of submissions before they are published, or decline to publish particular submissions, having regard to the requirements for Australian Government websites.
 

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Updated on 12 October 2021

Purpose

This policy sets out the principles for how TEQSA manages concerns and complaints (collectively referred to as concerns) about regulated entities under TEQSA’s legislative framework.

Scope

This policy relates to concerns about registered higher education providers. It does not extend to complaints about TEQSA’s processes, staff or resources, or about TEQSA’s regulatory decisions. For information on these topics, refer to Complaints about TEQSA.

Principles

These principles are intended to ensure TEQSA applies a consistent, efficient and respectful approach to managing concerns to support TEQSA’s regulation of the Australian higher education sector.

Principle 1: TEQSA’s role in receiving concerns

1. TEQSA’s functions are established under section 134 of the Tertiary Education Quality and Standards Agency Act (TEQSA Act) and include “collecting, analysing, interpreting and disseminating information relating to higher education providers, regulated awards quality assurance practices and quality improvement, and the Higher Education Standards Framework.” 
2. Concerns are an important source of intelligence to identify risks of non-compliance with a provider’s obligations under TEQSA’s legislative framework. 
3. TEQSA is not a complaints resolution body and typically does not have a role in addressing individual complainants’ grievances. We prioritise broader, systemic issues and are unlikely to pursue matters that:
   
   1. are one-off, isolated events, unless the conduct involves wider implications for students, staff, or the quality, integrity or reputation of the higher education sector
   2. have not been considered through the provider’s complaints handling processes
   3. are solely for the purpose of obtaining redress for students or staff, unless there is clear evidence of deficiencies in the provider’s complaint handling processes.
4. Anyone can raise a concern with TEQSA. Concerns should be submitted using the online form as the preferred method, however the method is not restricted.
5. All providers are required to have complaints handling processes capable of resolving complaints. This includes providing access to an independent third-party review if needed. 
6. TEQSA encourages individuals to consider raising concerns directly with the provider, where appropriate, using the provider’s complaints handling process. Doing so may result in a more timely and effective resolution with the provider. 

Principle 2: Protection of information

7. TEQSA accepts information from anonymous sources about higher education providers. TEQSA determines how to proceed in these circumstances based on the quality of the information available. TEQSA’s capacity to progress matters raised anonymously may be limited if further information is required.
8. TEQSA handles the personal information¹ of any individuals it collects in managing concerns in accordance with the Privacy Act 1988 (Cth) (Privacy Act) and TEQSA’s Privacy Policy and Privacy Management Plan. 
9. TEQSA will usually only disclose an individual’s personal information outside of TEQSA, for example to the higher education provider or another government agency, with the individual’s consent. TEQSA requests consent to disclose the personal information provided in the concern to the provider and/or to another government agency (where applicable) at the time the concern is submitted. This consent is voluntary. For more information about how TEQSA collects, uses and discloses personal information, refer to TEQSA’s Complete APP Privacy Policy. 

Principle 3: Respectful engagement

10. TEQSA is committed to being respectful, responsive, fair and consistent in the way it manages concerns.
11. All concerns are recorded and carefully reviewed to determine the appropriate response.
12. If contact information is provided, TEQSA will acknowledge receipt of a concern in writing within 5 working days. 
13. If the concern is outside TEQSA’s remit, TEQSA will either refer the matter to the relevant government agency where appropriate and where the individual has provided consent to do so, or direct the individual to the relevant organisation that may assist.
14. TEQSA may contact the individual who raised the concern to request more information. 
15. Subject to TEQSA’s confidentiality obligations, TEQSA will advise the individual of the outcome of TEQSA’s consideration of the information they submitted. TEQSA will also provide information on how to make a complaint about TEQSA’s handling of their concern.

Principle 4: Risk-based approach

16. TEQSA takes a risk-based approach to considering concerns and deciding the appropriate response, guided by TEQSA’s compliance priorities.
17. TEQSA does not investigate every concern and will generally only take action on concerns where there is a serious risk to students or to the quality, integrity or reputation of the higher education sector, and where the concern relates to the provider’s compliance with its obligations within TEQSA’s legislative framework.
18. All concerns are recorded and may be used to inform future regulatory activity and identify risks. For example, TEQSA may take action where it identifies a trend in concerns raised.
19. TEQSA’s regulatory response is guided by TEQSA’s approach to compliance and enforcement, including consideration of the basic principles for regulation in the TEQSA Act.
20. TEQSA will apply principles of procedural fairness in addressing concerns with providers.

Contact

Any enquiries about TEQSA’s Concerns and complaints about providers policy can be directed to: concerns@teqsa.gov.au. 

Notes

1. The meaning of personal information for this purpose is set out in the Privacy Act 1988 (Cth).

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Supporting the sector during COVID-19 recovery

COVID-19 has led to unprecedented disruption and many providers have swiftly adapted their normal business operations in response to the challenges and changed environment.

The focus of government and the sector has now shifted to the COVID-19 recovery period.

The Australian Government has announced its framework for a COVIDSafe Australia, which outlines a 3 step plan to ease restrictions, noting that states and territories may implement changes based on their COVID-19 conditions.  

At each step in the 3 step plan, education providers, including universities and technical colleges, are encouraged to increase face-to-face delivery where possible and prioritise hands-on, skills based learning, if it is safe to do so and in line with individual state and territory government advice.  

There are a number of resources to assist providers with this transition, including:

• guidance published by Safe Work Australia for the Tertiary Education sector
• a framework published by Universities Australia for resumption of face-to-face teaching.

TEQSA is maintaining its flexible arrangements while we support the sector during this transition period. Any changes to our flexible regulatory approach will be carefully considered, and include consultation with peak bodies and other government agencies as appropriate.

The recovery planning process for providers should take into consideration the temporary nature of these flexible arrangements and focus on how they will continue to meet their obligations longer term.  Providers may also want to consider the effect of changes they have made and where these have improved the quality of the education they deliver, whether they want to make some changes permanent (see below: Notifying TEQSA of material changes).

Purpose of this guidance material 

This guidance sets out key, high-level, principles-based considerations that providers should remain mindful of in their planning during the COVID-19 recovery period. It focuses on identified standards and risk areas pertinent in the COVID-19 and recovery period context, with an emphasis on obligations under the National Code of Practice for Providers of Education and Training to Overseas Students 2018 (National Code) and the Higher Education Standards Framework (Threshold Standards) 2015. 

This is intended to provide advice only and should be considered alongside TEQSA’s Guidance Notes, which provide greater clarity in the interpretation and application of selected standards. The definitive instruments for regulatory purposes remain the Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act), the Threshold Standards and the National Code. 

The National Code of Practice for Providers of Education and Training to Overseas Students 2018

Those providers registered to deliver courses to overseas students, including ELICOS providers, should consider their obligations under the National Code. 

TEQSA provided advice on 26 March 2020 about ongoing flexibility with regard to limitations on online delivery to international students (requirements 8.19 and 8.20 of the National Code 2018); and similar flexibility in attendance requirements related to ELICOS and Foundation Program providers. While international travel restrictions and social distancing measures continue, these flexible arrangements will remain in place until they are no longer required, noting that any change to restrictions could be on a country by country or state by state basis, affecting international markets differently.    

The Threshold Standards

During recovery, TEQSA’s focus is on ensuring providers continue to deliver higher education in a way that is safe for its staff and students, maintains quality, and is sustainable. 

We will continue to monitor providers’ compliance with the Threshold Standards during this period and engage with providers as appropriate, with a focus on the following: 

• Standard 1.1.1 in relation to Admission
• Standard 2.3 in relation to Wellbeing and Safety of students
• Standards 3.1.2 to 3.1.4 in relation to Course Design
• Standard 3.2.1 in relation to Staffing
• Standard 5.3.5 in relation to student feedback on their educational experiences
• Standard 5.4.1 in relation to Delivery with Other Parties
• Standard 6.2.1 in relation to Corporate Monitoring and Accountability
• Standards 7.1.1 and 7.1.4 in relation to Representation
• Standard 7.2.1 in relation to Information for Prospective and Current Students

Considerations

Many providers have made a number of changes to their business operations in order to comply with government advice and protect the health of their students and staff. While the response to COVID-19 was sudden, such as moving swiftly to online delivery, the recovery transition period should be measured.

It is important that obligations under the National Code and Threshold Standards are embedded in providers’ recovery planning and processes as they resume activities and continue to plan for the future. 

Providers may also want to consider how students have responded during COVID-19 and how any future changes may affect them.   As much as possible, students should be involved in and consulted on any changes that may impact their educational experience, wellbeing and safety, and any further changes should be communicated to them clearly.

We have set out key considerations for providers that are pertinent during the recovery period, as temporary changes transition back to business-as-usual activities or form the basis for on-going changes to a provider’s business model.

Student wellbeing and safety

Providers have a range of responsibilities to students, including taking active responsibility for fostering an environment of wellbeing and safety for its students. This includes:

• Conducting effective risk assessments and implementing preventative controls for the risks identified.
• Providing advice about actions to take, staff to contact and support services that are accessible to students (whether directly or through another party).
• Identifying risks to wellbeing and safety, taking steps to understand the support needs of particular student cohorts, and implementing effective mitigation and management strategies for identified risks.

Key considerations include:

• The commitment of the governing body and the framework of policies, processes and activities that have been established to foster and maintain wellbeing and safety during COVID-19 restrictions or easing of restrictions.
• Support should be tailored to the needs of particular student cohorts, such as students who are studying in different modes of participation, i.e. on campus, online or blended modes, students who are involved with other delivery partners (whether onshore or offshore) and students whose studies are impeded by health issues, including mental health issues requiring access to counselling.
• Risk identification should be consistent with the scale and context of the provider and its environment, and how this guides the provider’s preparations for resumption of face to face delivery and other transitional arrangements.

Particular consideration should be given to Standard 2.3.1.

Corporate monitoring and accountability

The governing body is critical in providing effective governance, oversight and strategic direction during the recovery process. This includes ensuring that there are appropriate governance arrangements in place to identify, effectively manage and monitor risks, particularly those that relate to financial management and oversight, and academic quality.

Key considerations include:

• Ensuring that risks are identified, documented and reviewed on a continual basis. 
• Ensuring the risk management plan adequately addresses risks and impacts of COVID-19, including that: 
  • decision-making processes are in place to review and approve risk mitigation strategies
  • consideration is given to short, medium and long term measures
  • roles and responsibilities are clearly defined 
  • there is a monitoring framework to ensure transparency and accountability.
• Monitoring the occurrence and nature of any formal complaints, allegations of misconduct, breaches of academic or research integrity or other critical incidents and taking action to address the underlying cause.
• Continually monitoring the health advice of Commonwealth and relevant state and territory governments to inform the actions you are expected to take, noting the approach may differ depending on the location and conditions of each campus.
• Revisiting the organisation’s business plan – for example realigning, as necessary, academic and financial priorities of the organisation.
• Ensuring adequate oversight by the governing body of the provider’s financial sustainability and viability – for example by receiving up-to-date, regular financial reporting in a format that enables the governing body to easily understand the provider’s current financial position and sustainability of performance and projections.
• Ensuring adequate monitoring and management of ongoing and emerging financial impacts and risks of COVID-19 - for example, modelling and analysis to inform strategies and make informed, sometimes hard, decisions based on data.
• Ensuring that there are adequate financial and tuition safeguards in place to mitigate disadvantage to students in the event of unexpected changes to provider’s operations, including if the provider is no longer able to offer a course of study or ceases to operate. 
• Exercising due diligence in making financial decisions – this may involve seeking external, professional advice or expertise as required.
• Clearly documenting financial decisions and reasons for these decisions.

Particular consideration should be given to Standard 6.2.1 (paras c. d. e. i. and j).

Maintaining academic quality and standards

As providers plan for upcoming academic periods/semesters, we expect that you will   maintain the quality of teaching and learning as a priority, including overseeing arrangements for delivery by other parties.

Key considerations include:

• Planning and reviewing the timing of course reviews and surveys, and   the influence of this on decisions about future operations, including delivery modes.
• Ensuring that there is appropriate academic scrutiny and oversight of delivery modes and approaches to teaching and assessment that were temporarily adopted in response to COVID-19, particularly in regards to online delivery.
• Ensuring processes for forward planning for the next academic period/semester and beyond address any identified quality-related issues and inform decisions related to:
  • course design, structure and modes of delivery
  • maintaining the integrity of methods of assessment
  • the provider’s technological capabilities
  • maintaining student engagement and support
  • ongoing support and development for teaching staff.
• Documenting arrangements to maintain assessment and quality standards.
• Ensuring risks to academic integrity are identified, monitored and mitigated (for example, academic misconduct, cheating and plagiarism), particularly in an online context.
• Ensuring the impacts of any changes to your workforce and capability are being managed effectively and that you have adequate resourcing to maintain your operations.
• Ensuring that staff in teaching and supervisory roles are equipped for their roles.
• Ensuring your current staffing complement remains sufficient to meet the educational, academic support and administrative needs of students.
• Ensuring there is sufficient monitoring, oversight and quality assurance of third parties to be satisfied that third parties are delivering to your expected quality standard.
• Revisiting contractual arrangements with third parties to ensure they remain fit for purpose and give sufficient assurance in the current context of COVID-19 recovery.
• Ensuring there are arrangements in place to achieve work-integrated learning, placements and other community-based learning required for successful course completion, for example where there are mandatory components or strict requirements for professional accreditation.

Particular consideration should be given to:

• Standards 3.1.2 – 3.1.4
• Standard 3.2.1
• Standard 3.2.3
• Standard 5.4.1

We also expect providers to consider the needs of students, current and prospective, in the context of the current environment and have suitable mechanisms in place for monitoring and reviewing higher education activities, and engaging in consequent reflection, to bring about evidence-based improvements.

Key considerations include ensuring that:

• New pathways for prospective students intending to apply for entry in 2021 are fair and transparent and designed in the best interests of the applicant.
• There is reasonable flexibility in admissions decision-making to recognise an applicant in the context of unique circumstances and the current environment.
• Student feedback is used to inform decisions about  admission practices and other academic approaches.
• Regular student feedback, particularly during this period of disruption, is used to inform continuous improvement of the student experience. 
• Students have access to accurate, relevant and timely information to enable them to make informed decisions about education offerings and experiences. For example, proactive and clear communication is provided to students about changes in delivery mode, fees and the content of courses as a result of COVID-19.
• There is sufficient oversight and monitoring of agents to mitigate risks of misrepresentation or unethical conduct in marketing practices in the current environment.

Particular consideration should be given to:

• Standard 1.1.1
• Standard 5.3.5
• Standard 7.1.1
• Standard 7.1.4
• Standard 7.2.1

Notifying TEQSA of material changes

On 30 June 2021, TEQSA published a revised Material Change Notification Policy. This policy outlines the circumstances in which providers are required to notify TEQSA of material changes and the method for notification and supersedes the previous Coronavirus (COVID-19) – statement on notifications. Please refer to the latest Material Change Notification Policy for more information.

If a temporary change becomes a permanent change, you should make a new material change notification.  

Where this relates to continuing online mode of delivery, information should be included on the steps taken to ensure continued quality of teaching and assessment, adequate resources for staff and support for student wellbeing and safety. For further guidance, refer to Online delivery- key considerations for providers.

Version #	Date	Key changes
1.0	10 September 2020	Made available as beta version.

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Purpose

TEQSA regulates all registered providers that offer higher education qualifications in or from Australia. TEQSA’s regulatory functions and powers are set out in the TEQSA’s legislative framework that includes:

• Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act)
• Regulatory Powers (Standard Provisions) Act 2014 (Regulatory Powers Act)
• Education Services for Overseas Students Act 2000 (ESOS Act)
• Higher Education Standards Framework (Threshold Standards) 2021 (Threshold Standards)
• National Code of Practice for Providers of Education and Training to Overseas Students 2018 (National Code)

TEQSA also regulates some standalone ELICOS providers.

TEQSA also has powers under the TEQSA Act to take action against other types of regulated entities, including unregistered entities that offer or confer higher education awards when not registered to do so, and entities that advertise or offer contract cheating services.

These functions and powers enable TEQSA to undertake compliance and enforcement action to protect student interests and the quality, integrity and reputation of Australia's higher education sector.

This policy sets out:

• the scope of TEQSA’s compliance function and enforcement powers
• the principles that guide TEQSA’s compliance and enforcement activities
• TEQSA’s general approach to identifying and addressing non-compliance, including how TEQSA may use its powers.

This policy sits within TEQSA’s Compliance Monitoring Framework.

Scope

This policy applies to all compliance and enforcement activities undertaken in response to suspected or identified non-compliance. 

Principles

TEQSA has discretion in how it exercises its range of powers to address non-compliance. TEQSA cannot investigate every regulatory concern that is brought to its attention and it uses its discretion to prioritise and allocate resources to address the greatest risks.

Compliance and enforcement activities are prioritised for action based on TEQSA’s compliance priorities set by the TEQSA Commission, with resources targeted toward specific groups or behaviours that pose the greatest risk of harm to students and the quality, integrity and reputation of the higher education sector.

TEQSA is guided by three basic principles set out in the TEQSA Act when exercising our compliance function or using our enforcement powers: regulatory necessity, reflecting risk and proportionate regulation. TEQSA’s Overview of Compliance Monitoring Framework sets out these and other overarching principles that guide TEQSA’s compliance and enforcement activities.

TEQSA acts swiftly and firmly where there is significant risk to students or the higher education sector, or where there is evidence of serious mismanagement, or a serious or deliberate breach of TEQSA’s legislative framework. 

In determining the most appropriate compliance and enforcement action to take, TEQSA considers:

• the severity and scale of the potential or actual harm
• the likelihood of harm occurring or reoccurring
• the regulated entity’s regulatory history as set in section 15(1a) of the TEQSA Act
• the ability of the entity to adequately mitigate the specific risks
• whether the burden associated with a particular response is greater than reasonably necessary
• the culpability of those offending, such as whether it was accidental or wilful
• the wider relevance of the event, such as serious public concern and broad sector relevance.

Identifying and assessing non-compliance

TEQSA becomes aware of potential non-compliance through a range of sources including:

• voluntary disclosure by the regulated entity
• cyclical assessments for renewal of TEQSA and CRICOS registration or course accreditation
• the annual provider risk assessment process
• sector-wide thematic analyses
• monitoring of compliance with conditions imposed on TEQSA or CRICOS registration or course accreditation
• intelligence gained from media monitoring or from other sources, including other government departments
• the investigation of complaints by students, the community or other providers.

All information in relation to potential non-compliance is subject to a preliminary risk analysis to prioritise the concern and determine next steps. As part of this preliminary assessment, TEQSA may make further enquiries to ensure it has enough information to understand and assess the suspected non-compliance.

Compliance assessments and investigations

If a concern is assessed as warranting further consideration, TEQSA will commence an assessment of compliance. This is a detailed examination of a regulated entity’s compliance with the TEQSA Act, the ESOS Act or the relevant standards. (Note that s59 of the TEQSA Act specifically refers to reviews or examinations of compliance with the Threshold Standards.)

TEQSA takes care only to commence compliance assessments where there is a reasonable basis to a concern about non-compliance with the Threshold Standards.

Where an assessment of a possible contravention of the TEQSA Act or ESOS Act may lead to court proceedings, this may take the form of an investigation. An investigation is undertaken in accordance with the Australian Government Investigations Standards for the purpose of gathering admissible evidence to support court proceedings.

TEQSA will notify a regulated entity that a compliance assessment or investigation has commenced and will describe the nature of the concerns and the scope of the assessment.  

Evidence to support a compliance assessment or investigation may be obtained through a number of mechanisms including, but not limited, to:

• Statutory and non-statutory requests for information. TEQSA may seek information voluntarily or may rely on statutory powers to require the production of information.

• Provider visits. These are conducted by consent and with advance notice. They serve a range of functions, including engagement, observation, information gathering and inspection

• Searches of premises. TEQSA may need to gain access to premises, either with the consent of the occupier or under a warrant. Where access to premises is necessary, TEQSA will primarily seek to enter with consent where necessary. A warrant will only be considered in limited circumstances, for example, where a regulated entity has demonstrated serious, deliberate or ongoing non-compliance.

• Monitoring and investigation powers. TEQSA can enter premises either with the consent of the occupier or with a warrant. Whilst on the premises TEQSA, in using its monitoring or investigation powers, and depending whether it enters the premises with the consent of the occupier or a warrant, TEQSA may search the premises or anything on the premises, examine or observe any activities conducted on the premises, inspect and / or make copies of documents on the premises, take photographs of the premises or things on the premises and seize evidential material.

The TEQSA and ESOS Acts, supported by the enforcement framework provided in the Regulatory Powers Act, detail how statutory powers are to be exercised, including the obligations of authorised officers, and the rights and responsibilities of occupiers.

Compliance assessments and investigations may:

• inform an application-based assessment where there is a concurrent or impending assessment
• result in enforcement action being undertaken, for example, where non-compliance has been established
• conclude with no further action being taken, for example, where TEQSA is satisfied that a provider is meeting the Standards identified as part of a compliance assessment.

When TEQSA has completed a compliance assessment or investigation, TEQSA will notify the regulated entity of the outcome of that assessment. TEQSA endeavours to clearly explain its concerns, the actions required or decisions taken, and the reasons for these.

Responding to non-compliance   

TEQSA will calibrate its treatment of compliance and enforcement matters on an escalation basis, where minor issues are dealt with using less serious administrative resolutions and serious matters or non-compliances are dealt with using more serious enforcement powers.

Tools available under the TEQSA, ESOS and Regulatory Powers Acts

TEQSA has a range of compliance and enforcement tools to help achieve compliance, build capability for self-assurance, and address non-compliance.

Informal resolution

In some matters, TEQSA may decide not to pursue further action but may instead provide regulatory guidance to promote self-assurance, build capability and prevent broader non-compliance. This may be appropriate in instances of minor and/or technical non-compliance, or where the regulated entity has promptly corrected a possible contravention and implemented measures to prevent recurrence. Guidance may include the provision of information or tools to support regulated entities to gain a better understanding of their obligations, and to encourage rectification and future compliance.

Warning letter

TEQSA may issue a warning letter where it reasonably believes a regulated entity has not complied with TEQSA’s legislative framework. A warning letter is not a formal enforcement power under the TEQSA Act. A warning letter places the regulated entity on notice about TEQSA’s concerns and the possibility of future action should the conduct continue or re-emerge. It provides the entity with the opportunity to address compliance issues itself. This may be appropriate where TEQSA has confidence that the entity is willing and able to address the concerns and the risks to students and the quality and reputation of the sector are low.

Voluntary undertaking

A voluntary undertaking is an action plan that empowers regulated providers to take greater responsibility for their own regulatory compliance in developing and agreeing upon tailored solutions to address concerns. A voluntary undertaking does not involve the use of formal enforcement power under the TEQSA Act.  It involves an agreement developed in partnership between a regulated provider and TEQSA. In a voluntary undertaking, the regulated entity commits to take specific action, or cease specific conduct, to address identified non-compliances within a specified timeframe.

Conditions

Under section 32 and section 53 of the TEQSA Act and section 10B and section 83 of the ESOS Act, TEQSA may impose conditions on a regulated entity’s registration or accreditation to mitigate a material risk associated with its operations. A condition can direct a regulated entity to act or not to do a particular act to address non-compliance or to prevent non-compliance.

Conditions may be imposed:

• where the nature and circumstances of the non-compliance presents a moderate to significant risk
• where TEQSA is not confident that a provider is meeting its obligations or managing risks effectively
• when lower level informal responses have not been successful
• where targeted action is needed to address the non-compliance.

Common conditions include requirements to not accept enrolments beyond a set maximum cap and to provide TEQSA with specific information on a determined regular basis.

Conditions are imposed for specific periods of time. Regulated entities can request TEQSA remove or vary conditions prior to the expiration pursuant to the relevant statutory regime (TEQSA Act or ESOS Act) under which the conditions were imposed.

Enforceable undertakings

An enforceable undertaking is a written undertaking made by a regulated entity. An enforceable undertaking is accepted and enforced pursuant to Part 6 of the Regulatory Powers Act. Under an enforceable undertaking, a regulated entity commits to take particular action or refrain from taking particular action to ensure it meets relevant legislative obligations.

TEQSA may seek enforcement of an enforceable undertaking in a court if an entity has breached or failed to comply with an enforceable undertaking.

Injunctions

Pursuant to Part 7 of the Regulatory Powers Act, TEQSA can apply to a court for an injunction restraining a person (including a regulated entity) from engaging in conduct that contravenes a provision of the TEQSA Act. TEQSA can also apply for an injunction requiring a person to do something in relation to compliance with the TEQSA Act.

Generally, injunctions will only be sought where the conduct, or proposed conduct, that contravenes the TEQSA Act is of a serious and persistent nature, or where urgent action is required such as where there is an immediate or direct risk to students’ welfare. An injunction may also be sought where less serious enforcement measures have been ineffective.

Shortened registration or accreditation period

TEQSA may shorten the registration or accreditation of a regulated entity where the provider has failed to meet the Threshold Standards or breached a condition imposed on its registration or course accreditation.

Cancellation of registration

TEQSA can cancel a provider’s registration if a provider has failed to meet Threshold Standards or breached a condition of its registration. Cancellation of a registered provider’s registration is a serious action and will only be exercised in the most serious cases.

TEQSA is required to give the regulated entity and relevant Ministers written notice of, and a reasonable opportunity to respond to, the reasons for proposing cancellation.

Civil and criminal sanctions

Civil and criminal sanctions are one of the most serious enforcement actions TEQSA might undertake and may be considered in cases involving deliberate and/or repeated non-compliance.

TEQSA can apply for orders imposing pecuniary penalties under Part 4 of the Regulatory Powers Act where a regulated entity has contravened a civil penalty provision of the TEQSA Act. The TEQSA and ESOS Acts also have a number of offence provisions (including offences covering the same conduct as most civil penalty provisions in the TEQSA Act).

Infringement notice

TEQSA may issue an infringement notice under Part 5 of the Regulatory Powers Act where TEQSA believes on reasonable grounds that a person has contravened a civil penalty provision of the TEQSA Act or certain provisions of the ESOS Act (see s 132 of the ESOS Act).

Tools available under the ESOS Act only

Suspension of registration under the ESOS Act

TEQSA may suspend the registration of a CRICOS provider for a broad range of reasons specified under section 83 of the ESOS Act, including non-compliance with the ESOS Act and National Code.

Suspension of registration will only be exercised where there is evidence of non-compliance and urgent action is required to address or prevent the non-compliance.

Publication of compliance and enforcement decisions

TEQSA publishes compliance and enforcement decisions made under the TEQSA Act related to regulated entities on the National Register. TEQSA also publishes some decisions, such as the decision to enter into a Voluntary Undertaking, on the TEQSA website. Further information about TEQSA’s approach to public reporting, including information about the content and timing of publication of reports is available on TEQSA’s website.

Monitoring and evaluating TEQSA’s compliance and enforcement approach

TEQSA’s approach to improving its regulatory functions is informed by the Australian Government’s Regulator Performance Guide, which provides a common set of performance measures for increased accountability and greater transparency in the way regulators perform their role. Under the Framework, all regulators are required to undertake annual self-assessments of their performance against their agreed evidence metrics. The results of self-assessments are validated by stakeholder consultation mechanisms and certified by TEQSA’s Accountable Authority.

Internal and external review

Some decisions made by TEQSA are reviewable. TEQSA’s procedures for internal and external review are on the TEQSA website. When communicating a compliance decision, TEQSA will outline the availability of internal or external review rights.

Complaints about TEQSA’s compliance and enforcement actions

Complaint about TEQSA’s actions can be made in writing via TEQSA’s complaints handling process. Information about how to make a complaint is available on the TEQSA website.

Contact

Any enquiries about this policy can be directed to: compliance@teqsa.gov.au