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Scope and intent of the Domain

This Domain (Sections 6.1-6.3) of the Higher Education Standards Framework (Threshold Standards) 2021 (HES Framework) encompasses:

• specification of an accountable governing body with some elaboration of its key governance roles
• specific corporate accountabilities to be demonstrated by the provider, which the governing body also assures itself are met
• requirements for academic governance oversight of a provider’s higher education activities.

This Domain represents a collection, at a corporate level, of the provider’s accountabilities, both as a responsible corporate entity and as a provider of quality higher education, including responsibility for compliance with the requirements of the other six Domains of the HES Framework. Some of these accountabilities reside solely with the governing body, although most rely on delegations of authority from the governing body to various parts/officers of the provider. 

Because of its overarching nature, the extent to which a provider demonstrates its capacity to meet the Standards of this Domain (along with Domains 5 and 7) as part of its ordinary business will be a significant factor in building TEQSA’s confidence about the provider’s capacity to meet and continue to meet the requirements of the HES Framework overall.

Our commentary

6.1 Corporate Governance

This Section requires a provider's governing body to be formally established by a legal instrument (e.g. by a specific Act or under the Corporations Act or State Act unless the provider is an individual operating from a Territory). The Standards do not prescribe the model of governance (e.g. Board/CEO or Board/Executive Director) but at least two members of the body must be independent and, consequently, could not be executive directors (the concept of an independent director is elaborated on in the Guidance Note for Corporate Governance).

The Standards require the governing body to exercise governance functions and to hold the organisation accountable, which TEQSA would expect to see reflected in the entity’s instrument of establishment, constitution, a board charter or the like and/or delegated authorities put in place by the governing body. Standard 6.1.3 specifies a number of key governance roles for the governing body. Provided these are carried out as contemplated by the Standard, we would not seek to specify how these roles are undertaken. Notable among these roles is the conduct of periodic independent reviews of the effectiveness of the governing body and the academic governance processes the provider has implemented. For an established provider, we will require reports of these reviews and evidence of improvements arising, or planned to arise, from them. In addition, we will also need to be satisfied that arrangements to meet contingencies including cessation as a provider are available and likely to be effective.

Reference point

• Tertiary Education Quality and Standards Agency Fit and Proper Person Determination 2018. 

6.2 Corporate Monitoring and Accountability

This Section of the Standards specifies a series of critical accountabilities that the provider must be able to demonstrate, and that the governing body, as part of its governance role, must be able to satisfy itself are being met. The governing body should set in place delegated authorities required for effective governance, and TEQSA will review these (including their effectiveness). The governing body must also be able to demonstrate that it has assured itself that these accountabilities are being met as part of its ordinary business, for example, as recorded in its business agendas, confirmed minutes and actions arising such as compliance monitoring, risk management and monitoring of delegated authorities.

Management of risks must include risks to quality. We will expect the provider to be able to demonstrate how the governing body remains abreast of any occurrences of academic misconduct, serious complaints, critical incidents and actual or potential lapses in relation to the HES Framework (see Paragraphs j and k of Standard 6.2.1) through its reporting framework. The evidence required to demonstrate financial viability and the financial capability to meet the Standards and sustain the quality of higher education is detailed in the Application guide for new providers.

Reference points

• ASX Corporate Governance Council (July 2014, or as amended), Corporate Governance Principles and Recommendations (3rd Edition). 
• Universities Australia (July 2011), Voluntary Code of Best Practice for the Governance of Australian Universities.

6.3 Academic Governance

This Domain represents the highest level of academic governance oversight mechanisms established by the provider. Neither the Standards nor TEQSA prescribe the structures that may be employed (such as an Academic Board or Senate). However, the outcomes that are to be achieved are specified by the Standards and we will expect a provider to demonstrate that its chosen mechanisms for academic governance achieve these outcomes. A provider’s academic governance systems represent a critical oversight link between the provider’s detailed internal quality assurance arrangements (see Domain 5), the accountability of the governing body for the quality of the higher education it offers and for meeting the requirements of the HES Framework (see Domain 6).

We will expect to see evidence of high level academic oversight (e.g. policy development and review, performance analyses, review findings and actions arising) as contemplated by Standards 6.3.1-6.3.3 as part of the provider’s normal business, including reports and analyses presented to the governing body. A provider’s capacity to maintain effective academic oversight of its higher education activities will be critical to our confidence in the provider and their ability to meet the rest of the Standards.

Relevant guidance notes

The following guidance notes can be accessed at our Guidance notes page, or from the links below:

• Academic governance
• Academic and research integrity
• Academic quality assurance
• Corporate governance
• Delivery with other parties
• Financial assessment
• Financial standing

The self-assurance report is an opportunity for you to demonstrate the effectiveness of your institute’s self-assurance mechanisms. The report outlines how your governing body assures itself of the quality of higher education operations and compliance with the Threshold Standards. In particular, it should demonstrate to TEQSA how a provider monitors, manages and mitigates institutional risks.

In preparing your self-assurance report, TEQSA highly recommends demonstrating how your institute manages key sector risks in the following areas:

In addition, in preparing your self-assurance report, you are expected to self-identify and address any significant risks specific to your institute’s individual circumstances. This should include, but is not limited to, how your institute manages risks associated with:

• regulatory history and compliance, including the management of conditions, voluntary undertakings, compliance assessments, or other adverse outcomes in recent regulatory assessments by TEQSA
• risks identified as high by TEQSA in its most recent annual Provider Risk Assessment (e.g. high rates of student attrition, casualisation of academic staff, etc)
• recent significant changes, including changes to senior leadership, ownership, third-party arrangements, courses, or organisational structure, or significant events, including media reporting or public attention surrounding an issue at the institute
• issues identified by other government and regulatory bodies (ASQA, the Department of Home Affairs, etc), or professional accreditation bodies.

Further information

For further information when preparing your application for renewal of registration, please contact TEQSA’s re-registration team at reregistration.enquiries@teqsa.gov.au. 
 

TEQSA registers providers to deliver higher education for a specific period, up to a maximum of 7 years. Each registered provider is required to apply to renew its registration at least 180 days before its current registration period lapses. Your registration period is published on the National Register under the ‘Registration’ tab.

Applications must be on the approved online application form (available from the Provider Portal), include all information requested, and be accompanied by the applicable fee and payment/invoice form. See more information on our fees page.

Once an application has been submitted, your registration continues until TEQSA has made a decision on the application. There are no additional restrictions on a provider’s registration while an application is under assessment.

The time it takes for TEQSA to assess an application to renew registration depends on the quality of the submission, any concurrent assessments being undertaken by TEQSA, and the time it takes for providers to respond to requests by TEQSA. As part of the assessment, TEQSA may request evidence to address gaps in the application, or to substantiate claims made in the submission.

Key stages

• Stage 1: Prepare your application
• Stage 2: Submit your application
• Stage 3: Application is assessed by TEQSA
• Stage 4: Findings and recommendations
• Stage 5: Application is decided by the TEQSA Commission
• Stage 6: Decision is published on the National Register

Application guide for renewal of registration

TEQSA encourages all applicants to read the application guide for renewal of registration before submitting an application. The application guide explains the application process, sets out the required evidence that will need to be submitted with each application, and provides guidance in preparing the application.

• Access the application guide

Key considerations for providers preparing a self-assurance report (renewal of registration)

All providers are required to prepare and submit a self-assurance report as part of an application for renewal of registration. This report should demonstrate the effectiveness of a provider’s self-assurance processes as an integral part of their day-to-day operations in identifying, managing, and mitigating institutional risks.

In preparing the report, providers should consider the key sector-wide issues that pose significant institutional risk. Guidance on what TEQSA expects providers to consider is available on TEQSA’s website.

• Key considerations for providers preparing a self-assurance report (renewal of registration)

Multiple applications

Providers are encouraged to apply for renewal of registration at the same time as renewal of CRICOS registration, course reaccreditation, and where applicable, other regulatory processes such as application for self-accrediting authority or an application to change provider category. The ability to submit concurrent applications will depend on a range of factors, including accreditation and registration periods. Providers are strongly encouraged to contact us to discuss the best way of packaging applications prior to submission.

Further information

For further information when preparing your application for renewal of registration, please contact TEQSA’s re-registration team at reregistration.enquiries@teqsa.gov.au.