Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

Purpose of this note

TEQSA expects that courses of study will evolve over time as providers make improvements as part of their quality assurance processes and/or respond to changing circumstances in the educational and workplace environments. Some changes may be relatively minor, some may be more significant (see the Material Change Notification Policy available on the TEQSA website), while others may change the course so fundamentally that it amounts to a ‘new’ course. A ‘new’ course will need to be accredited as such, whether internally if the provider has authority to self-accredit the new course, or externally by TEQSA. In the case of accreditation by TEQSA, accreditation as a new course of study may arise as a result of:

• a provider’s own initiative to replace a previously-accredited course of study with a new course of study, or
• TEQSA determining that the proposed changes to a course of study will change the course sufficiently to warrant accreditation of the course as a new course of study.

The aim of this note is to indicate some of the major factors that TEQSA may have regard to in reaching a decision on whether accreditation of a course can be renewed under its existing identity or whether it needs to be accredited as a new course of study.

Because of the variety of factors that may affect a determination by TEQSA, providers are advised to discuss proposed significant changes to a course of study with TEQSA. These discussions will help to resolve whether or not the proposed changes fundamentally change the nature of the course of study and/or likely expectations of it from students and the community, to the extent that TEQSA will require accreditation as a new course.

Factors that may affect TEQSA’s determination

Many factors may influence TEQSA’s decision making in particular circumstances. Some key factors that may lead to a requirement for accreditation as a new course are outlined below. Many of these are somewhat interdependent, e.g. changes to learning outcomes and course design, but for the purposes of this guidance note they are considered separately. The discussion largely follows the matters raised by the requirements of the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework).

Representation of the course of study

From time to time, providers may wish to change the orientation of a course to match new or emerging opportunities, such as innovative employment opportunities or marked changes in technologies. This may cause a provider to structure the course differently and change the title. For example, a Bachelor of Science (BSc) may be recast as a BSc (Environmental Sciences) or BSc (Emerging Technologies). Where the new title of the course is likely to suggest to prospective students that the course may lead to markedly different employment prospects or opportunities for further study, TEQSA may form the view that the course should be accredited as a new course. This could also apply to broadening or narrowing a field of education, e.g. changing a Masters of Business Administration (MBA) to a more specialised course of study, e.g. to MBA (Health Management), or vice versa. TEQSA would also consider whether the new title, if not accredited as a new course, may cause confusion with existing courses or be misleading to the community and potentially affect the reputation of Australian higher education.

Level/type of qualification

Where a change to a course is proposed to lead to a different qualification at the same AQF level, e.g. Bachelor (Honours) degree to a Graduate Diploma at Level 8, or to one at a different level, from a Bachelor to a Masters Degree, the course will need to be accredited as a new course. This will also include postgraduate courses, e.g. Masters, Doctorate, that are proposed to change from coursework (or predominantly coursework) to a research degree (i.e. including at least two-thirds research work). A change to a research degree would also involve meeting the Research and Research Training Standards (Domain 4 of the HES Framework) if that has not already occurred.

Where a provider that offers a Diploma accredited as a vocational education and training (VET) course proposes to convert this to a higher education course, or to offer a Higher Education Diploma with the same title and content, the Higher Education Diploma will need to be accredited as a new course. Higher education providers should have regard in such cases to the over-riding requirement to deliver teaching and learning that engage with advanced knowledge and inquiry (HES Framework Category Criterion B1.1).

Learning outcomes

TEQSA expects the learning outcomes of courses to evolve with time, and such evolution is unlikely to have an impact on re-accreditation of a course. However, from time to time, marked changes may occur in expected learning outcomes, e.g. to provide training for a different (broadened or specialised) scope of professional practice, such as a new major or course solely addressing forensic accounting instead of management accounting. In such cases TEQSA will consider accreditation as a new course in the interests of clarification and avoidance of confusion about what can be expected of graduates. Providers may well also see this as advantageous in proposing a new field of study.

Course duration/volume of learning

A marked change in the duration of a course of study or the volume of learning may lead to a need for accreditation as a new course. This may occur particularly if:

• there has been a marked reduction in the volume of learning without other corresponding changes to other factors, and/or
• a marked and unsubstantiated departure from the broad guidance of the AQF is proposed.

A marked change in volume of learning would be expected to be accompanied by various other changes, such as changes to the:

• level or qualification type
• scope of the expected learning outcomes
• prerequisites or other aspects of academic preparedness
• course design, or
• delivery methods.

If these types of accompanying changes have not occurred, TEQSA would be concerned about the credibility of the proposed changes to the volume of learning. Where accompanying changes are being proposed to support a change in volume of learning, TEQSA will form a view on whether, in aggregate, they change the fundamental nature of the course to the extent that it amounts to a ‘new’ course.  

Entry requirements

Changes to entry requirements may cause TEQSA to see the changes as a new course. This would occur where the changed entry requirements are likely to change the consequent type and level of learning experiences that flow from the change, e.g. a change from undergraduate entry to graduate entry, or new and substantial requirements for prerequisite professional or workplace experience that is expected to be advanced in the course of study. Changes in entry requirements that may require additional support, e.g. admitting an educationally disadvantaged cohort, but do not otherwise change the fundamental nature of the course or its outcomes, are less likely to require accreditation as a new course. 

Course design/delivery

Providers are expected to change the design and delivery of courses over time as part of their internal monitoring and quality assurance. TEQSA will consider such changes as part of re-accreditation of a course of study. Provided that the changes do not markedly change the expected outcomes of the course for students or the community, TEQSA is unlikely to require accreditation as a new course of study. For example, progression to more emphasis on online learning is likely to be seen as part of a natural evolution in a provider’s educational management, provided the changes are accompanied by corresponding relevant changes to the provider’s monitoring and quality assurance. Adopting a solely online mode of delivery would be a material change, but not necessarily change the course to such an extent that it would require accreditation as a new course.

However, where the design and delivery of a course is changed fundamentally and such changes to its design and delivery are claimed to engender markedly different graduate capabilities and/or a capacity to meet new community expectations, TEQSA may form the view that accreditation as a new course of study is warranted. For example, if a provider introduced an unprecedented predominance of ‘best-practice’ work-integrated learning, TEQSA may form the view that the interests of all parties may be better served by accreditation as a new course.  

Research and research training

As mentioned above, offering a research degree(s) requires a provider to meet the standards of the HES Framework for both Research and Research Training. Changes to a course of study that are intended to convert it to a research degree will require accreditation as a new course of study.

Institutional quality assurance

If a provider proposes changes to a course of study that would require capabilities that have not been previously been demonstrated, TEQSA will need to consider accreditation as a new course. For example, a provider may wish to incorporate new fields of education into a course for which it has not previously demonstrated a capacity for sufficient academic leadership, staff expertise, learning resources or dedicated expertise in institutional quality assurance (e.g. in the academic board or equivalent) in that field to meet the requirements of the HES Framework prima facie. As discussed above, this would apply to new research degrees but it would apply in any area where the provider is proposing significant involvement in new fields of education or markedly different modes of delivery, e.g. adding significant STEM content to a humanities program.

Delivery partners

The HES Framework sets out specific requirements in relation to delivery with other parties. A proposal for a new delivery partner would require consideration by TEQSA at least as a material change, and, depending on the nature of the delivery arrangement and its likely impact on the design of course of study, may lead to accreditation as a new course. So too may a change of delivery partner, however TEQSA would take into account the provider’s previous record of managing and quality assuring delivery partners.

International students

Providers may propose changes to a previously accredited course to meet the needs of one or more cohorts of international students (whether onshore or offshore). TEQSA will have regard to the matters discussed elsewhere in this guidance note in considering whether the course amounts to a ‘new’ course and warrants accreditation as such. TEQSA will also have regard to any potential impact on the reputation of Australian higher education. 

Resources and references

TEQSA (2016), Material Change Notification Policy (HES Framework 2015).

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact TEQSA’s Enquiries Management team at providerenquiries@teqsa.gov.au. 
 

Version #	Date	Key changes
1.0	6 March 2017	Made available as beta version for consultation.

Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

What is corporate governance?

Broadly defined, corporate governance is the framework of structures, rules, relationships, systems and processes of an entity through which:

• corporate directions and targets are set
• authority is delegated
• organisational performance is monitored
• risks are identified, managed and controlled
• organisational accountability is maintained
• corporate culture is developed and influenced.

The centrepiece of corporate governance is a formally constituted governing body (e.g. a board of governance) that is collectively accountable for the governance and performance of the entity overall, including, in the case of registered higher education providers, meeting and continuing to meet the requirements of the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework).

In higher education providers corporate governance is typically part of a governance framework that also includes academic governance. Together these elements of governance guide and monitor the executive and academic functions of the provider.

Relevant Standards in the HES Framework

The principal Standards concerned with corporate governance are in Part A, Sections 6.1 (corporate governance) and 6.2 (corporate monitoring and accountability) of the HES Framework. These in turn have links to other related Standards concerning academic governance (6.3), representation of the entity (7.1), policy frameworks (7.2), information management systems (7.3) and institutional quality assurance (5.1-5.4), which together address a variety of mechanisms that enable and support effective corporate governance. Standards concerning wellbeing and safety (2.3) and student grievances and complaints (2.4) are also indirectly related to the corporate governance, through the oversight responsibilities of the governing body.

Intent of the Standards

The overall intent of the corporate governance Standards is to establish a corporate governing body that has certain specified characteristics, such as the inclusion of independent[1] members (directors), and that is competent to undertake its governance roles. The governing body is accountable for the direction setting and oversight of the provider as a whole. This makes the Standards for corporate governance the highest and most overarching level of the Standards in the HES Framework. The Standards require the governing body to address particular aspects of the governing body’s own performance and behaviour, including obtaining advice as needed to make informed decisions and formally delegating authority (e.g. to the provider’s executive) as it sees fit. The Standards also encompass a series of specific corporate requirements (e.g. financial sustainability, maintaining the quality of higher education) that the governing body must be able to demonstrate and assure itself about as part of its corporate accountabilities. The governing body is also accountable for periodic independent reviews and improvement of the effectiveness of the provider’s governance systems.

The corporate governance Standards are designed to ensure that the matters encompassed by all other Standards in Part A of the HES Framework are intended to have a traceable accountability pathway to the governing body and Standard 6.1, via Standard 6.2. For example, the next layer of overarching Standards (academic governance and institutional quality assurance) requires the provider to generate performance monitoring information from various aspects of its operations and to report that information through its management information systems to the governing body. In this way, the governing body should be well positioned to understand and monitor any aspect of the provider’s performance, at least at aggregate level.

Where a provider is a wholly-owned subsidiary of another provider, the governing body of the owner may be designated as the governing body of the subsidiary as well, provided that the governing body of the owner exercises all the responsibilities and meets all the requirements outlined in Sections 6.1 and 6.2.

Risks to quality

The role of the governing body has a fundamental influence on the operations of a provider. It is involved in setting corporate directions, setting and monitoring performance targets, proactively identifying and mitigating risks, monitoring financial viability and sustainability, and influencing corporate culture. For higher education providers it is also accountable for the quality of education delivered, the validity of qualifications issued, compliance with the HES Framework and the way it represents its offerings to prospective students and others.

Any shortcomings in governance expose a provider to significant risks. The concern of the governance Standards, and of TEQSA, is that higher education providers have a focus of responsible overall monitoring and accountability, which collectively prevents the realisation of significant risks such as not meeting the requirements of the HES Framework, unrealistic or unsustainable resourcing to deliver quality higher education, irresponsible representation of the provider or development of a culture that is inconsistent with quality higher education.

Some potentially serious shortcomings in governance that TEQSA will want to see obviated include a governing body:

• having insufficient collective competence to understand and undertake a governance role in a higher education provider
• failing to obtain advice as required to make informed decisions, particularly about the nature and quality of higher education offered
• not being well enough informed, and not diligently making itself sufficiently informed, to identify and address likely risks to the provider’s viability, sustainability and educational offerings
  • this may particularly be a risk in corporate groups where the group board acts as the governing body for multiple entities
• not taking steps to assure itself of compliance with the HES Framework and not demonstrating how it knows the provider is meeting the Standards required
• not delegating authority to achieve effective management and accountability of the executive, and not monitoring that those delegations are effective
• allowing a provider to represent itself or its offerings in an inaccurate or misleading manner with consequent damage to students and Australian higher education, or
• failing to keep adequate records of its activities and decisions.

At worst, failures of corporate governance may lead to major organisational failures that disadvantage students and/or damage the reputation of Australian higher education, including corporate collapse arising from ignorance or mismanagement of preventable risks by the corporate governing body, whether directly or through its delegations of authority.

What TEQSA will look for

This part of the guidance note covers the full extent of the Standards, and corresponding evidence that TEQSA may require, in relation to corporate governance.

For new applicants seeking initial registration and course accreditation, TEQSA will require evidence to be provided in relation to all relevant Standards.

For existing providers, the scope of Standards to be assessed and the evidence required may vary. This is consistent with the regulatory principles in the TEQSA Act, under which TEQSA has discretion to vary the scope of its assessments and the related evidence required. In exercising this discretion, TEQSA will be guided by the provider’s regulatory history, its risk profile and its track record in delivering high-quality higher education.

The evidence required for particular types of application is available from the application guides on the TEQSA website.

Providers are required to comply with the Standards at all times, not just at the time of application, and TEQSA may seek evidence of compliance at other times if a risk of non-compliance is identified.

Higher education providers are legal entities established by one of a number of possible legal avenues of incorporation, e.g. the Corporations Act. TEQSA will need to see the instrument formally establishing the provider and its governing body (see also Standard 7.3.1) such as the constitution. TEQSA will wish to confirm from the provider’s constitution or related documentation (e.g. the strategic plan) that: the entity has a primary purpose of higher education, the governing body’s accountabilities are specified (e.g. board charter, constitution or equivalent) and the membership of the governing body meets the requirements of the HES Framework. This will include declarations from members of the governing body concerning the independence of at least two members, residency and fit and proper persons.

The background of all of the members of the governing body will need to be available in sufficient detail for TEQSA to form a view of their collective and individual competence and the experience of the members to undertake governance roles (see also Section 7.3) in a higher education provider. TEQSA will wish to confirm that the governing body collectively has (or has ready access to) the range of expertise and governance experience necessary to undertake the overall roles specified by its charter (or equivalent) and the HES Framework (such as financial monitoring, planning, risk management, oversight of the quality of higher education).

In relation to Standard 6.1.3, TEQSA will wish to see the mechanisms that the governing body has adopted to obtain independent advice and academic advice as is necessary to carry out its governance roles diligently and competently. TEQSA will also want to see the governing body’s delegations of authority and the mechanisms it adopts to assure itself that such delegations are implemented and are operating effectively. Standard 6.1.3d requires the governing body to undertake periodic independent governance reviews and TEQSA will wish to see (in the evidence submitted for renewal of registration) the results of such reviews (or plans for such reviews in the case of a new provider) and the consequent actions taken.

Section 6.2 outlines a set of key matters that the governing body must assure itself of and be able to demonstrate that they are being attended to responsibly and effectively. A provider is required to keep a true record of the business of the governing body (Standard 6.1.3e). TEQSA will wish to examine the record of the governing body’s work (e.g. agendas, meeting minutes, actions arising) for a significant period (at least a year) to confirm the scope and detail of the governance activities involved and that they have been undertaken diligently. TEQSA does not prescribe the format of meeting minutes. However, minutes should record not only the decisions taken, but also the basis on which the decision was made (key documents considered and key points that were taken into consideration by the governing body in making its decision), as well as actions arising. The Governance Institute of Australia and the Australian Institute of Company Directors have issued a Joint statement on board minutes (August 2019) which gives definitive guidance.

In particular, TEQSA will need to be satisfied that the governing body’s work encompasses all of the requirements of its charter, that the relevant Standards have been met, and that the governing body is able to demonstrate how it knows that they have been met.

If the evidence that is used and relied on to give assurance to the governing body is not already incorporated in the governing body’s records, TEQSA will wish to see that evidence. This may include:

• internal audit reports or the like, showing that the entity is meeting its obligations for legislative compliance (Standard 6.2.1a)
• performance reports that demonstrate that the provider is meeting its planning targets as set out in its strategic plan (or equivalent) (Standard 6.2.1b)
• financial reports and audited statements, internal audit reports and reports from the audit committee (or equivalent) that show that the provider’s financial position and projection are sustainable and controls are in place (Standards 6.2.1c, d)
• risk management plans showing that risks have been identified tenably and credible mitigation strategies have been implemented (Standard 6.2.1e)
• academic governance reports demonstrating that the provider’s higher education operations are operating as planned at the level of quality intended (Standard 6.2.1f)
• equity/diversity reports that are relevant to the provider’s operations (Standard 6.2.1g)
• evidence that effective controls for the secure issue of qualifications are in place (Standard 6.2.1h)
• evidence that tenable contingency plans are available to deal with unexpected events (Standard 6.2.1j)
• records of incidents and complaints that are maintained and used to inform risk management and prevent recurrences (Standard 6.2.1j, see also Standard 7.3.3)
• evidence that mechanisms for identifying and managing lapses in meeting the requirements of the HES Framework are effective (Standard 6.2.1k, see also Standard 7.3.3).

TEQSA will need to be satisfied that the governing body’s mechanisms to assure itself that the requirements of the HES Framework are continuing to be met are both credible and effective.

Scope of assessments

If, as a result of looking in detail at the governing body’s activities, TEQSA is satisfied that the governing body is:

•  competent, diligent and effective in attending to the breadth of its governance responsibilities as required by the HES Framework, and
• able to demonstrate that it is well informed about the provider’s operations, risks and sustainability through its internal assurance mechanisms,

this will build TEQSA’s level of confidence in the provider overall.

This confidence may allow TEQSA to reduce its evidence requirements for other Standards or for subsequent regulatory activities. On the other hand, if concerns are raised in relation to the provider’s capabilities in corporate governance or its internal assurance mechanisms, this may require TEQSA to probe other areas of the provider’s operations in more detail where the provider is not already doing so effectively as part of its own routine governance and monitoring work.

 

[1]           Broadly speaking, an independent member (director) of a governing board is someone who does not have a material personal, financial, business or other interest in the provider.

Resources and references

ASX Corporate Governance Council (2014), Corporate Governance Principles and Recommendations, 3^rd edition.

Committee of University Chairs, Higher Education Funding Council for England (2009), Guide for Members of Higher Education Governing Bodies in the UK.

Governance Institute of Australia and Australian Institute of Company Directors (2019), Joint statement on board minutes.

Hénard, F. and Mitterle, A. (2010), Governance and quality guidelines in Higher Education: A review of governance arrangements and quality assurance guidelines, OECD.

OECD (2015), G20/OECD Principles of Corporate Governance.

Quality Assurance Agency (2014), UK Quality Code for Higher Education.

TEQSA (2016), Explanations of terms in Part A of the HES Framework 2015.

Universities Australia (2018), Voluntary Code of Best Practice for the Governance of Australian Public Universities. 

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact TEQSA’s Enquiries Management team at providerenquiries@teqsa.gov.au. 
 

Version #	Date	Key changes
1.0	April 2015
2.0	13 April 2016	Updated for the HESF 2015 and made available as beta version for consultation.
2.1	19 August 2016	Incorporated feedback from consultation, including elaboration on meeting minutes and governing body ownership, and revisions to appendices A and B.
2.2	5 April 2017	Updated with references to the Governance Institute of Australia as well as clarification that all references to links with ‘the provider’ below also apply to links with associated entities.
2.3	11 October 2017	Addition to ‘What will TEQSA look for?” text box.
2.4	26 August 2019	New reference to GIA/AICD Joint statement on board minutes.

 

 

Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

What is course design?

Course design can be defined structurally as the content, duration and sequencing of the elements (units) of a course of study[1]. This structural definition is broadened by the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework) to include various other design characteristics including entry requirements and pathways, the nature of the content, the expected learning outcomes, their sequence of attainment and assessment, and professional accreditation if required. For the purpose of meeting the requirements of the HES Framework, the Framework effectively defines course design through the scope of the relevant Standards.

Relevant Standards in the HES Framework

The principal Standards concerned with course design are at Section 3.1. Learning outcomes and Standards concerned with their assessment are at Section 1.4. These are linked to various elements of Domain 7 in relation to the publication of information about courses of study to inform prospective students and other stakeholders. There are also links between learning outcomes (Standard 1.4.1) and the level of an AQF qualification awarded (Standard 1.5.3).

Intent of the Standards

The overall intent of the course design Standards is to identify what is required in the design of a course of study that leads to a higher education qualification. Standard 3.1.1 outlines the items that constitute the specification of the design. This specification gives an overall picture of the course of study in sufficient detail for an expert in the field to undertake an initial assessment of the scope and nature of the course and for prospective students to make an informed choice about the course (see Section 7.2). Section 3.2 focuses in detail on the nature of the content required of a higher education course, including its consistency with the level of study concerned and the expected learning outcomes. How the design of the course is intended to enable progressive and coherent achievement of the expected learning outcomes is encompassed by Standard 3.1.3, and it is expected that this should occur irrespective of the mode of participation or delivery (Standard 3.1.4). The design of the course of study also needs to address accreditation of the course of study by a professional body where this is required for registration to practise (Standard 3.1.5).

The Standards for learning outcomes require a provider to specify the learning outcomes for a course, including demonstrating their consistency with the field of education and level of qualification awarded. The Standards also require a provider’s specification of learning outcomes to be informed by national and international comparators, without specifying how a provider chooses to achieve this requirement. The Standards require achievement of different classes of learning outcomes (see Standard 1.4.2) including specific, generic, employment-related and life-long learning outcomes, and that all learning outcomes are assessed prior to completion of the course of study, irrespective of how and where they are assessed (Standard 1.4.4). Methods of assessment also need to provide students with timely feedback on their progress towards achieving course learning outcomes (Standard 1.3.3).

There is a specific requirement to demonstrate the appropriateness, fitness of purpose and effectiveness of all methods of assessment for all providers (Standard 1.4.3) and there is specific detail on the requirements for and assessment of learning outcomes for research training by higher degrees, if undertaken by a provider.

Risks to quality

In addressing course design and learning outcomes, the HES Framework seeks to prevent a series of important risks to the quality, outcomes and reputation of higher education. Failure to adequately and publicly specify the design of a course inhibits comparisons of courses and informed choice by students. It also indirectly potentially diminishes the standing of Australian higher education if international comparisons cannot be made, as do learning outcomes that are not informed by international comparators.

Failure to meet the requirements of the HES Framework leads to risks of learning outcomes and course designs not being fit for higher education, particularly in relation to the level of advanced inquiry involved, with a consequent degradation of qualifications. There is also a risk that learning outcomes are poorly defined or not defined at all, and that they may be narrowly focused rather than embracing specific, generic, employment-related and life-long learning outcomes as expected of contemporary higher education. Inadequate consideration of different modes of participation or delivery may lead to disadvantage for some individuals/cohorts.

If the achievement and assessment of expected learning outcomes are not aligned for the course of study overall, there is a risk of learning outcomes not being achieved or not being adequately assessed, or of some outcomes being assessed excessively to the detriment of others that are given little attention or ignored. Insufficient diligence in selecting methods of assessment may result in invalid or otherwise unreliable assessment, to the extent that students may graduate who have not in fact achieved the learning outcomes of the course.

What TEQSA will look for

This part of the guidance note covers the full extent of the Standards, and corresponding evidence that TEQSA may require, in relation to course design, learning outcomes and assessment.
 

For new applicants seeking initial registration and course accreditation, TEQSA will require evidence to be provided in relation to all relevant Standards.
 

For existing providers, the scope of Standards to be assessed and the evidence required may vary. This is consistent with the regulatory principles in the TEQSA Act, under which TEQSA has discretion to vary the scope of its assessments and the related evidence required. In exercising this discretion, TEQSA will be guided by the provider’s regulatory history, its risk profile and its track record in delivering high-quality higher education.
 

The evidence required for particular types of application is available from the application guides on the TEQSA website.
 

Providers are required to comply with the Standards at all times, not just at the time of application, and TEQSA may seek evidence of compliance at other times if a risk of non-compliance is identified.

When providers apply to TEQSA for course accreditation, they are required to provide detailed course documentation. In other circumstances (i.e. if an issue arises outside the scope of a formal application) TEQSA may be in a position to readily form a view on the basis of the publicly available information (required under Standard 7.2.2). Such an issue may also prompt a request for further information, which in turn may also be influenced by the provider’s previous record of meeting the requirements of the HES Framework in course design for cognate or different fields of education.

Broadly speaking, the specification of the design of the course provided to TEQSA for a course accreditation application should allow a peer to form a view on the standing and quality of the course, and allow prospective students to compare comparable offerings from different providers.

TEQSA requires that a provider be able to demonstrate that the content and learning activities of the course are of a sufficiently advanced level and otherwise appropriate to higher education, and are consistent with the field of education and the level of qualification involved. TEQSA will probe these aspects intensively in relation to the requirements of Standards 3.1.2 and 3.1.3. A provider may wish to advance credible national or international comparators in support of the course design (note that this is required for learning outcomes at Standard 1.4.1). Reference may also be made to the specifications of the AQF for the level of qualification concerned. In the case of ‘nested’ course designs, TEQSA will pay particular attention to entry and exit pathways and to the integrity of course design and learning outcomes for each exit point.

Where the provider’s intention is to offer a course of study in different locations or by different modes of participation or delivery, TEQSA will need to be satisfied that the design of the course is such that students have equivalent opportunities to achieve the expected learning outcomes irrespective of their mode of participation. As for external accreditation of the course by a professional body (Standard 3.1.5), providers are encouraged to review the application guides on the TEQSA website.

Just as TEQSA will be concerned that a course of study and its content are fit for higher education, it will be similarly diligent in relation to the nature, quality and level of the expected learning outcomes for the course (Standards 1.4.1-1.4.2). This will include an assessment of the credibility of comparators advanced by the provider (Standard 1.4.1) and may involve expert/peer review. Similarly, TEQSA will wish to be satisfied that the methods of assessment of learning outcomes that are used throughout the course are credibly capable of valid assessment of the various outcomes concerned for the level of qualification offered (see also Standard 1.5.3). The Standards require that all specified learning outcomes are assessed before completion of the course of study (Standard 1.4.4) and that progressive and coherent achievement of learning outcomes is planned in the design of the course (Standard 3.1.3).

TEQSA will expect some clear information demonstrating where course learning outcomes are taught, practised and assessed, whether at unit level or at course level (e.g. via a ‘capstone’ assessment and/or an assessment against a set of occupational or professional standards) or a combination of these (Standard 1.4.4). TEQSA may require an appropriate demonstration that the learning outcomes that are assessed at individual unit level (and/or within a capstone unit) reasonably demonstrate achievement of overall course learning outcomes on graduation. The Standards also require that any grades awarded reflect the level of student attainment (Standard 1.4.3). TEQSA will expect providers to be able to advance credible evidence (such as moderation exercises, peer reviews, benchmarking studies) that will satisfy TEQSA in this respect.

For those providers that offer research training by higher degrees, TEQSA will need to be satisfied that the additional requirements for the specification and assessment of learning outcomes for research training are met (Standards 1.4.5-1.4.7). This may involve an assessment of the relevant policies and procedures governing assessment for research degrees, and their implementation, as exemplified by assessment of actual reports from examiners for a sample of relevant assessments. The details of this will be covered in the assessment request for information. Providers are encouraged to review the application guides on the TEQSA website.

Scope of assessments

If, as a result of looking in detail at the provider’s capabilities in course design and assessment of learning outcomes, TEQSA is satisfied that the provider’s processes meet the requirements of the HES Framework and that there is evidence of continuing sustainability and effectiveness of these processes, this may allow TEQSA to reduce its evidence requirements for other Standards and/or for subsequent regulatory activities for other courses of study. On the other hand, if concerns are raised in relation to the provider’s capabilities, this may require TEQSA to probe the design and assessment of other courses in more detail.

Resources and references

Australian Qualifications Framework Council (2013), Australian Qualifications Framework Second Edition January 2013.

FLIPCurric website.

Office for Learning and Teaching project, Assuring Graduate Capabilities.

Office for Learning and Teaching, Assuring Learning.

Publications developed by the Assessing and Assuring Graduate Learning Outcomes Project.

Quality Assurance Agency (2014), UK Quality Code for Higher Education, Chapter B1: Programme Design, Development and Approval.[2]

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact the TEQSA Enquiries Management team at providerenquiries@teqsa.gov.au. 
 

Version #	Date	Key changes
1.0	13 April 2016	Made available as beta version for consultation.
1.1	19 August 2016	Incorporated feedback from consultation, including clarification of what TEQSA will look for, elaboration of learning outcomes assessed at unit level, and an addition to the resources and references.
1.2	12 September 2016	Addition of additional reference Office for Learning and Teaching, Assuring Learning
1.3	11 October 2017	Addition to ‘What will TEQSA look for?” text box.

 

 

 

 

 

[1] A course of study is a coherent sequence of units of study leading to the award of a qualification. The use of ‘course of study’ in the Standards includes both coursework and higher degree by research programs unless otherwise specified. Courses of study are sometimes known as ‘programs’ and units of study are sometimes called ‘modules’ or ‘subjects’.

[2] This document sets out expectations for providers of UK higher education.

Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

How is equivalence of professional experience determined?

Higher education students are entitled to expect that they are being taught by someone who is qualified in the particular field of education (also known as field of study) at a level more advanced than the level of the course being taught, and that the teacher’s expertise has been clearly established through an assessment of formal academic qualifications, equivalent professional experience, or a combination of both.

Where providers identify a need to rely on an assessment of professional equivalence for the purpose of appointing staff, TEQSA expects that they will have a policy and procedure under which professional equivalence is determined and approved.

Relevant Standards in the HES Framework

The Standards in the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework) concerned with staffing require registered higher education providers to ensure that academic staff appointed to teach students are appropriately qualified in the relevant discipline for their level of teaching (see Section 3.2). In particular, the Standards specify that academic teaching staff must be qualified to at least one level[1] of qualification higher than the course of study being taught (AQF+1), or have equivalent relevant academic, professional or practice-based experience and expertise, except for staff who are supervising doctoral degrees, who must have a doctoral degree or equivalent research experience (see Section 3.2.3). The Standards for research (Section 4.1) and research training (Section 4.2) also canvass experience. TEQSA’s guidance note on nested courses discusses how the requirements apply to courses at one level that have components within them of courses at a lower level.

This guidance note explains how TEQSA assesses whether providers have met the requirement to determine equivalence in line with the HES Framework, where staff do not have AQF+1 qualifications. For the sake of brevity, the range of relevant types of experience mentioned in the Standards is referred to collectively as ‘professional experience’ in this guidance note.

Assessing professional equivalence

Key features of an effective policy

A framework for determining equivalent professional experience needs to be codified in a policy, to avoid inconsistent and ad hoc judgements being made. Equivalent professional experience goes well beyond a measure of the time spent by a person working in a particular profession. Assessment must also take into account how the professional experience demonstrates achievement that is equivalent to the specific knowledge and skills established in the learning outcomes of the required AQF level being considered. A provider’s policy and procedures should recognise that these learning outcomes are specific for each field of education, as well as AQF level, and that therefore the criteria for equivalence would need to be tailored to each field and level of education under consideration.

A provider may find it useful to benchmark the knowledge and skills that can be attained through professional experience against the learning outcomes of its own courses, or against those of other providers.

In addition, any policy dealing with the assessment of professional equivalence should include consideration of:

• the full range of professional experience
  
  • including teaching experience (i.e. teaching at lower AQF levels, conducting professional development seminars, giving public lectures), scholarship and professional practice
• a minimum requirement for academic qualification(s)
  
  • for example where staff are able to meet the AQF+1 requirement through professional experience, they could be required nonetheless to hold an academic qualification at least equivalent to the AQF level of the course of study being (or proposed to be) taught, and
• the specific criteria for assessing professional equivalence at each level
  • where a policy points to multiple criteria, the policy should be clear about whether each criterion is sufficient on its own, or is to be assessed in combination with others.

The evidence to be considered when assessing the professional experience of an individual may include evidence of:

• leadership in the development of professional standards
• performing in a role that requires high order judgement and the provision of expert advice, or roles at a senior level
• managing significant projects in the field
• testimonials, awards or other recognition that acknowledges leadership or expertise in the field of education
• contributions in the field of education through participation in advisory boards and professional networks
• peer reviewed publications in the field of education
• other publications such as books and reports
• leadership or management of research acknowledged by peers.

TEQSA recognises that in fields of education that are professionally focused, emergent academic disciplines or highly professional specialist subjects within a discipline, a policy may allow for some flexibility in its application while maintaining the robustness of the policy intent. However, TEQSA would expect that where an individual staff member may not yet strongly meet all of the criteria outlined in the policy, there would be an explicit and time-limited professional development plan, or other strategies put in place such as mentoring or team teaching, to enable the individual to make the transition to academic teaching successfully. In the case where teachers are engaged on a continuing basis to teach specialised components of a course because of their specialised expertise, but do not fully meet the general requirements of Standard 3.2.3, they are supervised by staff who do meet the requirements (see Standard 3.2.4).

Assessing research equivalence

In the case of staff supervising doctoral degree students who do not themselves have a doctoral degree, TEQSA would expect a higher education provider to analyse the nature, amount and duration of research previously undertaken, including the extent of independent research involved, against the usual requirements for the award of the relevant research qualification e.g. PhD. Such an analysis would be expected to be undertaken by a person or a body, e.g. a research committee, that has sufficient research experience to make an informed judgement about equivalence. 

Risks to quality

The focus of the Standards relating staffing is to avoid students being taught by inexperienced and/or underqualified staff, particularly staff whose level of qualifications, teaching and professional/practical experience is at or below the level of course they are teaching (including research experience for research training if applicable to the provider).

Where staff do not have the required level of qualifications and experience, they may be unable to lead students in intellectual inquiry and achieve learning outcomes appropriate for the level of the course.

What TEQSA will look for

This part of the guidance note covers the full extent of the Standards, and corresponding evidence that TEQSA may require, in relation to professional equivalence.
 

For new applicants seeking initial registration and course accreditation, TEQSA will require evidence to be provided in relation to all relevant Standards.
 

For existing providers, the scope of Standards to be assessed and the evidence required may vary. This is consistent with the regulatory principles in the TEQSA Act, under which TEQSA has discretion to vary the scope of its assessments and the related evidence required. In exercising this discretion, TEQSA will be guided by the provider’s regulatory history, its risk profile and its track record in delivering high-quality higher education.
 

The evidence required for particular types of application is available from the application guides on the TEQSA website.
 

Providers are required to comply with the Standards at all times, not just at the time of application, and TEQSA may seek evidence of compliance at other times if a risk of non-compliance is identified.

TEQSA recognises that approaches to assessing professional equivalence are likely to vary between providers, but in establishing the effectiveness of the implementation of the policy framework, a provider should be able to demonstrate:

• how the policy is communicated to current and future academic teaching staff and to human resource staff
• who is delegated to apply the policy, and that there are processes for ensuring transparency and equity in relation to its application.
• how the provider assures itself that the policy is applied to all existing staff, as well as new appointments
• how the outcomes of any assessment of professional equivalence may inform a staff member’s professional development activities
• how the policy will be subject to a periodic review.

Resources and references

Australian Qualifications Framework Council (2013), Australian Qualifications Framework Second Edition January 2013.

TEQSA (2016), Guidance Note on Nested Courses of Study.

TEQSA (2016), Guidance Note on Staffing, Learning Resources and Educational Support.

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact the TEQSA Enquiries Management team at providerenquiries@teqsa.gov.au. 
 

Version #	Date	Key changes
1.0	18 September 2014
2.0	19 August 2016	Updated for the HESF 2015 and made available as beta version for consultation. Replaces previous guidance note on ‘Equivalence of professional experience to academic qualifications’.
2.1	18 April 2017	Updated to refer to guidance note on Nested Courses.
2.2	11 October 2017	Addition to ‘What will TEQSA look for?” text box.

 

Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

What constitutes diversity and equity?

The terms ‘diversity’ and ‘equity’ as used in the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework) refer broadly to the creation of equivalent opportunities for access and success in Australian higher education for historically disadvantaged or underrepresented student populations, other groups protected in Equal Opportunity and anti-discrimination legislation, and those covered by the Higher Education Participation and Partnerships Program.

The relevant Standards in the HES Framework require higher education providers to focus on ensuring equivalent opportunities for student academic success. They do not refer to the appointment of staff.

Relevant Standards in the HES Framework

The principal Standards concerned with diversity and equity are in Part A, Section 2.2, Diversity and Equity, which set out three broad requirements that apply to providers and courses of study:

1. Institutional policies, practices and approaches to teaching and learning are designed to accommodate student diversity, including the under-representation and/or disadvantage experienced by identified groups, and create equivalent opportunities for academic success regardless of students’ backgrounds.
2. Specific consideration is given to the recruitment, admission, participation and completion of Aboriginal and Torres Strait Islander peoples.
3. Participation, progress, and completion by identified student subgroups are monitored and the findings are used to inform admission policies and improvement of teaching, learning and support strategies for those subgroups.

Requirements for providers to consider diversity and equity are also woven into other Standards, reflecting the typical stages of being a student.

Standard 1.1.1 on Admission requires providers to ensure that admitted students have the academic preparation and proficiency in English needed to participate in their intended study, and no known limitations that would be expected to impede their progression and completion.

Also relevant to student admissions is Section 7.2 on Information for Prospective and Current Students, which requires that accurate, relevant and timely information for students is publicly available and accessible, including access for students with special needs, to enable informed decision making about educational offerings and experiences.

Standard 7.2.2d requires providers to give prospective students, prior to acceptance of an offer, access to current academic governance policies and requirements, including policies and requirements in respect of equity and diversity.

Section 1.3 on Orientation and Progression requires providers to tailor their orientation programs to the needs of student cohorts, to assess the needs and preparedness of individual students and cohorts, and to ensure that students have equivalent opportunities for successful transition into and progression through their course of study, irrespective of their educational background, entry pathway, mode or place of study.

Section 2.3 on Wellbeing and Safety requires that the nature and extent of support services available to students are informed by the needs of student cohorts, including mental health, disability and wellbeing needs (see Standard 2.3.3).

Section 3.3 on Learning Resources and Educational Support includes requirements that need to be considered in regard to student diversity and equity. Standard 3.3.3 requires that access to learning resources does not present unexpected barriers, costs or technology requirements for students, including for students with special needs. Standard 3.3.4 requires that students have access to learning support services that are consistent with the requirements of their course and mode of study, and with the learning needs of student cohorts.

Part B1, on provider categories, sets out requirements for use of the title ‘university’. Any provider seeking to use the title ‘university’ must demonstrate a commitment to social responsibility in its activities.

Paragraph 2d of Part B2 requires that any provider seeking authority from TEQSA to self-accredit nominated courses must demonstrate that it has:

• completed at least one cycle of review and improvement in relation to the provider’s efforts to meet Standard 2.2.3 in its reviews and improvement activities of all courses proposed for self-accreditation
• demonstrated successful implementation of evidence-based improvements arising from the reviews
• established these review and improvement activities as effective sustainable features of the provider’s operations.

Intent of the Standards

Section 2.2 applies to all students, including students undertaking higher degrees by research.

The overall intent of the Standards is to ensure that providers consider and plan to meet the learning and support needs of all their students, so that as far as possible all students have equal opportunities for academic success. These learning and support needs often are broadly similar but they can also differ quite markedly for individuals or groups of students.

The Standards necessitate that providers have: an understanding of the concepts of diversity and equity, and have considered the implications for their operations, including the creation of a culture that welcomes diversity (on campus and online). The individual mission of each provider gives the context for the development of institutional approaches to valuing diversity and supporting equity in its many forms. Where students are expected to make a commitment to support that mission (for example through a Statement of Faith), this should also not contravene a provider’s obligation to support freedom of speech and academic freedom (Standard 6.1.4 and Category Criterion B1.1.1). Measures taken to accommodate diversity should not contravene the standards, including Standard 6.1.4 and Category Criterion B1.1.1.

All providers can expect that there will be diversity in the backgrounds and characteristics of their student body. They need to plan to accommodate this diversity by:

• being aware of their obligations under Australian law
• carefully considering their targeting of, and marketing to, prospective students
• ensuring that prospective students are aware of, and can access information about, any requirements associated with successful completion of a course, including those that might represent impediments for members of particular groups, such as students with disabilities
• committing resources to provide learning and other support likely to be required by their diverse student body, including international, off-campus, and online students
• ensuring that institutional data systems capture relevant information for monitoring of participation, progress and completion.

TEQSA accepts that the extent to which providers commit resources to accommodate and support student diversity will be conditioned by the scale and scope of each provider’s activities, as well as by its mission.

Standard 2.2.1 makes specific reference to the need for providers to accommodate the under-representation and/or disadvantage experienced by identified groups. Providers are expected to be aware of under-represented groups in higher education.

The Standards do not require providers specifically to achieve ‘representational equity’ in the proportion of historically under-represented student populations they choose to admit, but providers must give specific consideration to the recruitment and admission of Aboriginal and Torres Strait Islander peoples (Standard 2.2.2).

In Australian higher education, there is an established tradition of acknowledgement of and support for specific equity groups that from time to time include, or have included:

• Aboriginal and Torres Strait Islander peoples
• people from lower socio-economic backgrounds
• people with disability
• people from remote, rural or isolated areas
• people who are the first in their family to attend a university or other higher educational institution
• people from non-English speaking backgrounds
• women, especially in areas of study where they have been under-represented, such as engineering.

Providers should consider, in the light of their missions, any other groups of prospective students that may have experienced disadvantage.

While international students studying in Australia may not be under-represented or have experienced disadvantage, the principles of support for diverse learners and inclusive education should be applied to them as to all students.

The Australian legislation relating to diversity and equity that providers need to comply with includes:

• Racial Discrimination Act 1975 (Cth)
• Sex Discrimination Act 1984 (Cth)
• Disability Discrimination Act 1992 (Cth)
• Disability Standards for Education 2005 (Cth)
• Australian Human Rights Commission Act 1986 (Cth)
• Workplace Gender Equality Act 2012 (Cth)
• Age Discrimination Act 2004 (Cth)
• Various State and Territory Anti-Discrimination legislation.

Section 22 of the Disability Discrimination Act (1992) applies specifically to education, and prohibits providers from discriminating, directly or indirectly, against a person on the grounds of a person’s disability by:

• refusing or failing to accept the person’s application for admission as a student
• denying the student access, or limiting the student’s access, to any benefit provided by the educational authority
• expelling the student
• subjecting the student to any other detriment
• developing curricula or training courses having content that will exclude the person from participation.

Further, the Disability Standards for Education impose certain obligations on providers. Providers must take ‘reasonable steps’ to enable students with disability to apply for and participate in a program on the same basis as other students, and make ‘reasonable adjustments’ to assist a student with a disability to apply for admission or enrolment; to participate in the course or program and to use facilities or services on the same basis as a student without a disability.

The Standards in the HES Framework require that providers develop and implement systems to monitor and use data on the:

• participation
• progress
• completion of identified student subgroups.

For some providers this is also an Australian Government requirement related to funding.

Under the HES Framework, all providers are expected to have and to use information reflecting diverse student groups. The selection of groups is not mandated by the HES Framework but must include Aboriginal and Torres Strait Islander peoples (Standard 2.2.2). Guidelines for how to measure and monitor participation, progress, and completion are available in various publications (see for example AIHW, 2014; Pitman and Koshy, 2014).

Risks to quality

The major risks of a failure by a provider to implement plans for diversity and equity among its student cohorts are:

• a poor experience for learners and potential damage to their self-esteem and prospects for future learning
• low retention and completion rates among under-represented groups or those that have experienced disadvantage, due to the lack of adequate support or an appropriate learning environment
• a failure to meet legal obligations by the provider not being aware of actions that are discriminatory or unfair, which in turn could result in legal action and/or reputational damage.

The social and emotional consequences for individuals of not achieving and succeeding in higher education can be severe. While not every student will complete their studies, providers are expected to mitigate the risks to students who experience disadvantage or come from under-represented groups by providing appropriate support and a suitable learning environment.

What will TEQSA look for?

This part of the guidance note covers the full extent of the Standards, and corresponding evidence that TEQSA may require, in relation to the management of diversity and equity.
 

For new applicants seeking initial registration and course accreditation, TEQSA will require evidence to be provided in relation to all relevant Standards.
 

For existing providers, the scope of Standards to be assessed for renewal of registration or course accreditation and the evidence required may vary. This is consistent with the regulatory principles in the TEQSA Act, under which TEQSA has discretion to vary the scope of its assessments and the related evidence required. In exercising this discretion, TEQSA will be guided by the provider’s regulatory history, its risk profile and its track record in delivering high-quality higher education.
 

The evidence required for particular types of application is available from the application guides on the TEQSA website.
 

Providers are required to comply with the Standards at all times, not just at the time of application, and TEQSA may seek evidence of compliance at other times if a risk of non-compliance is identified.

In the first instance, TEQSA will consider the provider’s statements in respect of diversity and equity, including the policy frameworks and procedures to create and maintain equivalent opportunities for academic success regardless of students’ backgrounds, within the context of the provider’s mission. TEQSA will consider the implementation of policies for teaching and learning for the extent to which they accommodate diversity and create equivalent opportunities for students.

As noted above, in advance of offering higher education, a provider needs to understand and consider:

• their legal obligations, including obligations not to discriminate
• the characteristics of their expected student mix
• their stance on diversity and equity
• how they will incorporate inclusivity in admissions practices, course design and education and learner support (student services, resources and infrastructure), and
• how they will monitor participation, progress and completions.

Any provider that admits students without considering how all students will have equivalent opportunities for academic success and an appropriate learning environment is likely to face multiple difficulties in meeting the HES Framework.

TEQSA will consider whether a provider’s admission requirements (Section 1.1), advice to prospective and enrolled students (Section 7.2) and transition support (Section 1.3) are consistent with its statements and policies on diversity and equity, and adequate to meet Standard 2.2.1. As part of this consideration, TEQSA will explore how the provider has assessed the needs and preparedness of individual students and cohorts. TEQSA will also have regard to how the provider has given specific consideration to the recruitment, admission, participation and completion of Aboriginal and Torres Strait Islander peoples. For other identified groups, TEQSA will review the arrangements for monitoring participation, progress and completions, and the outcomes achieved.

Providers should note that the Standards require providers to monitor the participation and success of any identified groups (such as an identified equity group) and use that information to improve academic and support strategies for such groups. The Standards do not require providers to achieve equality of outcomes, however they do require them to ensure equivalent opportunities for all groups.

TEQSA will investigate whether the nature and extent of support services available for students are informed by the needs of student cohorts (Standard 2.3.3). TEQSA will consider the adequacy of these services, taking into account the scale and scope of the provider’s operations. Similarly, TEQSA will be interested to see how students with special or specific needs have access to learning resources and learning support services (Section 3.3).

For providers seeking to use an Australian University title under Part B1, TEQSA will consider the extent to which the provider has demonstrated a commitment to social responsibility. This may include an exploration of the provider’s commitment to valuing diversity and to representational equity. This may also include consideration of the provider’s track record in ensuring equivalent support to diverse student cohorts to enable them to achieve the best possible outcomes they are capable of achieving.

For providers seeking authority from TEQSA to self-accredit nominated courses of study under Part B2, TEQSA will check that the review requirements of Section 2.2 relating to diversity and equity for all proposed course(s) of study have been implemented.

Further inquiry

If concerns are raised over a provider’s understanding or implementation of policies or legislated responsibilities concerning student diversity and equity, TEQSA may explore the extent to which these concerns reflect any systemic challenges for the provider’s ability to meet the HES Framework. In determining whether to explore the issue further, TEQSA will take account of the scale and scope of the provider’s activities. 

Resources and references

Australian Government, Age Discrimination Act 2004.

Australian Government, Australian Human Rights Commission Act 1986.

Australian Government, Disability Discrimination Act 1992.

Australian Government, Disability Standards for Education 2005.

Australian Government (2015), Final Report for the 2015 Review of the Disability Standards for Education 2005.

Australian Government, Racial Discrimination Act 1975.

Australian Government, Sex Discrimination Act 1984.

Australian Government, Workplace Gender Equality Act 2012.

Australian Human Rights Commission (2016), A quick guide to Australian discrimination laws.

Australian Institute of Health and Welfare (2014), Towards a performance measurement framework for equity in higher education.

Higher Education Participation and Partnerships Programme.

Research reports available through the National Centre for Student Equity in Higher Education, Curtin University (2016 and previous).

National Education Association [NEA] (2015), Diversity Toolkit Introduction.

Pitman, T. and Koshy, P. (2014), A Framework for Measuring Equity Performance in Australian Higher Education – Draft Framework Document.

Universities Australia (October 2011), National Best Practice Framework for Indigenous Cultural Competency in Australian Universities.

Various State and Territory legislation, Anti-Discrimination Acts.

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact the TEQSA Enquiries Management team at providerenquiries@teqsa.gov.au. 
 

Version #	Date	Key changes
1.0	21 October 2016	Made available as beta version for consultation.
1.1	9 May 2017	Amended as a result of consultation feedback.
1.2	11 October 2017	Amendment to ‘What will TEQSA look for?” text box.

 

 

Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

Why does TEQSA do financial assessments?

The financial status of a higher education provider can significantly affect its ability to support quality in its higher education delivery to students. The financial status can influence, for example, a provider’s: 

• capacity to invest in sufficient facilities and infrastructure (physical assets and information communication technology) to support the student learning experience
• ability to maintain adequate staffing levels and academic leadership in order to support academic quality and integrity
• capacity to provide support services to students
• ability to continue to operate sustainably into the future.

A registered higher education provider is required under the Tertiary Education Quality and Standards Agency Act 2011 (TEQSA Act) and the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework) to ensure it is able to maintain its higher education operations and meet the Standards on an ongoing basis. 

This guidance note explains how TEQSA assesses the financial basis for a provider’s ability to continue to meet the Standards.

Relevant Standards in the HES Framework 

The principal Standards concerned with financial assessment are in Part A of the HES Framework: Standards 6.2.1b, 6.2.1c and 6.2.1d. These in turn have links to other related Standards concerning financial standing (such as Standards 7.3.1d and 7.3.1k). 

Intent of the Standards 

The intent of Standards 6.2.1b, 6.2.1c and 6.2.1d is to ensure that the corporate governing body is demonstrably exercising effective oversight of financial aspects of the provider’s operations and that providers are financially viable and sustainable. 

A provider should be ensuring that it is not merely financially viable but that financial resources are being managed in a sustainable way to support quality at existing and planned level of activity. The members of the corporate governing board of a provider should ensure that they are financially literate and have access to financial expertise to provide sufficient assurance about financial matters.

TEQSA approach to financial analysis

At the time of initial registration, TEQSA assesses new applicants against all of the Standards in the HES Framework; this includes a financial assessment of the applicant. After a provider has been registered for the first time, a financial assessment does not form part of the ‘core’ Standards assessed at the time of any further regulatory event for existing providers (such as a renewal of registration). 

TEQSA will employ a risk-based approach to determine whether a financial assessment is necessary as part of any scheduled or unscheduled regulatory activity, taking into consideration a range of factors, including a provider’s:

• annual risk assessment
• operating context
• business model. 

TEQSA also works closely with the Department of Education and Training and the Australian Skills Quality Authority in determining whether to include a financial assessment as part of a provider’s upcoming regulatory activity. 

TEQSA’s risk assessments include an assessment of a provider’s overall risk to financial position. This assessment rating is informed by an analysis of a range of financial metrics which analyse a provider’s short- and longer-term financial viability and sustainability.

Key concepts

TEQSA employs an approach to financial assessment that is similar to that used by lending institutions and credit ratings agencies. In determining whether a provider meets the Standards in the HES Framework relating to financial viability and sustainability, TEQSA considers a higher education provider’s:

• financial capacity
• financial capability
• financial trajectory.

These concepts are explained in further detail below.

Financial capacity

Financial capacity is considered to be the provider’s ability to apply and continue to apply sufficient financial resources to achieve its higher education objectives. This includes a provider’s capacity to operate both in the short-term (financial viability) and over the longer-term (financial sustainability). Both are prerequisites and ongoing requirements for higher education providers.

Some of the questions considered by TEQSA to determine financial capacity include:

• has the provider exhibited a consistent track record of financial performance?
• has the provider maintained sufficient levels of liquidity and investment to support key academic functions?
• what have been the trends in key financial performance elements?
• has the provider exhibited a consistent track record of financial prudence?
• has there been sufficient and rigorous business planning?
• has there been reliance on a related party?
• how has the provider anticipated, and responded to, key sector drivers and trends affecting the business model?

Financial capability

Financial capability considers a provider’s access to resourcing and combines both financial resources and non-financial resources.

A provider’s financial resources includes its:

• earnings and cash
• assets
• credit rating
• insurance
• ability to grow revenue and manage expenditure.

A provider’s overall management capability is critically influenced by:

• the quality of financial and business planning, budgeting and alignment with the institution’s strategic plan
• its financial monitoring, reporting and analysis
• fraud management
• financial risk identification and management
• oversight by the board
• interactions with auditors.

Financial trajectory

A provider’s financial trajectory is a key element in demonstrating its ability to sustain quality in higher education. 

When TEQSA assesses a provider’s trajectory, it considers both historical and forecast information together, and where available has regard to a provider’s business strategy, benchmarking to like providers, available market trends, known policy and funding events. It is important for any forecasts to reflect realistic projections, particularly with respect to:

• student enrolment numbers that are supported, where applicable, by historic trends and robust research or market analysis.
• academic and non-academic staff numbers.
• asset investment plan, such as floor space and facilities.

TEQSA’s collection of financial data

TEQSA collects financial information through various means that are designed to be efficient and not to create an unreasonable burden for the provider, while also meeting the requirements of the TEQSA Act and HES Framework. 

The table below shows the ways through which TEQSA obtains financial data.

New application or renewal Annual data collection Ongoing disclosure Source Provider registration Course accreditation CRICOS registration Provider (via annual submission to the Department of Education and Training) Material change notifications Information requested Historical financial statements Forecast financial information Business plans Governing body meeting minutes Historical financial statements Standardised historical financial report Detailed key operating metrics (student/staff numbers) Further information may be requested based on the nature of material change notification

Resources and references

TEQSA (2014), TEQSA’S Risk Assessment Framework version 2.0, March 2014.

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact the TEQSA Enquiries Management team at providerenquiries@teqsa.gov.au. 

 

Version #	Date	Key changes
1.0	21 October 2016	Made available as beta version for consultation. Replaces previous information sheet on ‘TEQSA’s approach to financial assessment’.
1.1	11 April 2019	Consultation advice incorporated into “Key Concepts – Financial Trajectory” section.

 

 

Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

What is financial standing?

Financial standing is a broad term which can take on different meanings depending on the context within which it is being applied. 

For the purposes of the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework), financial standing relates to the core financial information a stakeholder would need access to in order to make an informed decision about whether to enter into an agreement with a higher education provider. This applies in particular to students seeking to undertake a course of study. 

Relevant Standards in the HES Framework 

The principal Standards concerned with financial standing are in Part A of the HES Framework: 7.3.1d and 7.3.1k. These Standards require a provider to publish information about its ‘financial standing’, and providers that are required to prepare public annual reports should make these available. These Standards in turn have links to other related Standards concerning corporate governance (6.2.1b, 6.2.1c and 6.2.1d) and the provision of information to students (7.2.1). 

Intent of the Standards 

The intent of Standard 7.3.1 is to establish a set of information about the provider and its courses which can be accessed by, and meet the needs of stakeholders most importantly current and prospective students. 

From a financial perspective, students need to be satisfied that a provider is in a position to continue as a going concern and to deliver the advertised course of study, consistent with the requirements of the HES Framework, until they graduate. Higher education providers that do not publish their annual financial statements can best provide assurances about these matters to stakeholders through a Statement of Financial Standing.

How can registered providers meet the requirements?

The requirements can be met by publishing on the provider’s website either:

• a provider’s audited annual financial statements OR
• a statement of financial standing.

Some providers publish their annual audited financial statements, which provide sufficient information for stakeholders to form a view about their status as a going concern. Providers that rely on publication of their annual financial statements to fulfil the requirement to make their financial standing publicly available should ensure that stakeholders, in particular students, can easily access them, for example by including a prominent link to them from the most visible and accessible webpage with general information about the provider.

Not all providers however are required to publish financial statements. This reflects current Australian accounting standards and legal requirements. It is not the intention of the Standards to impose requirements on providers that are inconsistent with accounting standards and legal requirements. 

A Statement of Financial Standing should summarise the key points in their respective financial statements, which are important in informing a decision about financial standing. 

TEQSA’s guidance to providers for meeting Standard 7.3.1d aims to address the core information needs of stakeholders, in particular students, without imposing excessive burdens on providers.

• For newly registered higher education providers that are yet to have prepared a set of financial statements, TEQSA would expect the provider to publish items 1 and 3 of Appendix A. 
• Newly registered higher education providers with pre-existing operations (e.g. as a Registered Training Organisation) should prepare the Statement of Financial Standing in full as described in Appendix A, noting that the audited accounts refer to the entity as it was prior to higher education registration.

Contact the Enquiries Management team at providerenquiries@teqsa.gov.au for additional specific guidance on how to comply with the relevant Standard in the Threshold Standards (Part A of the Threshold Standards: 7.3.1d).

What TEQSA will look for in a Statement of Financial Standing?

This section provides guidance on the content of a Statement of Financial Standing that TEQSA would accept as meeting the requirements of Standard 7.3.1d. An example statement has been included at Appendix A. 

The model Statement of Financial Standing draws on existing disclosures that most providers are already required to make in order to satisfy other legislative requirements. TEQSA expects that such a Statement and any other relevant information about the provider’s financial standing would be made available on the provider’s website. An appropriate Statement of Financial Standing would contain the following 3 sections:

1. Directors’ declaration or equivalent (such as Statement by Appointed Officers or Statement by Members of the Board). Refer to Table 1 below for further guidance.
2. Auditor’s opinion (where an auditor’s opinion relies on a going concern note in the financial statements, the note should also be reproduced), and
3. Tuition assurance arrangement details.

Where a provider is required to make its financial statements public, the fourth item below would also be included: 

4. A hyperlink to the location of the provider’s financial statements (Standard 7.3.1k).

Table 1. Examples of Directors’ Declaration or equivalent for different entity types

Company Proprietary Limited	Company Limited by Guarantee	University	Incorporated Association
Directors’ declaration	Directors’ Declaration	Financial Statement Certification/Statement by the Vice-Chancellor and Chief Financial Officer	Statement by Members of the Board

Note: The examples listed above are not exhaustive and terminology differences may exist between providers.

Resources and references

Australian Government, Corporations Act 2001, section 295.

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact the TEQSA Enquiries Management team providerenquiries@teqsa.gov.au. 
 

Version #	Date	Key changes
1.0	19 August 2016	Made available as beta version for consultation.
2.0	4 November 2016	Further elaboration provided in the ‘How can providers meet the requirements?’ section.
2.1	13 December 2016	Requirements for newly registered providers clarified.
2.2	11 April 2019	Consultation advice incorporated into “Appendix A, example Statement of Financial Standing”.

 

Appendix A

Example Statement of Financial Standing

Provider details

• Provider Name: XYZ Pty Ltd
• ABN: 999 999 999
• Date of Statement of Financial Standing: DD/MM/YYYY

1. Directors’ declaration or equivalent (Refer to Table 1)

Note to providers: 

The directors’ declaration should include the: 

• directors’ opinion regarding the provider’s ability to pay its debts as and when they become due and payable
• signature and name of the director/s making the declaration, and
• date that the directors’ declaration was made 

2. Auditor’s opinion 

Note to providers: 

The auditor’s opinion should include:

• the name of the auditor
• the date of the audit opinion
• the auditor’s opinion, and 
• a reproduction of the going concern note (where an auditor’s opinion relies on a going concern note in the financial statements). 

3. Tuition Assurance Arrangement details

Note to providers:

The tuition assurance arrangements should include: 

• the name of the scheme 
• date of registration as a member of the scheme
• currency of coverage, if applicable.

If the provider is required to make its financial statements public by Standard 7.3.1k.

4. A hyperlink to the location of the provider’s financial statements 

Body

Providers should note that Guidance Notes are intended to provide guidance only. They are not definitive or binding documents. Nor are they prescriptive. The definitive instruments for regulatory purposes remain the TEQSA Act and the Higher Education Standards Framework as amended from time to time. 

What does ‘Grievance and Complaint Handling’ encompass? 

‘Grievance and Complaint Handling’ encompasses the policies and procedures implemented by higher education providers in response to a grievance or complaint expressed against the provider by another party, including students, staff or members of the wider community. However the Higher Education Standards Framework (Threshold Standards) 2015 (HES Framework) section on Grievances and Complaints is specific to those involving students, so for the purposes of this Guidance Note, grievance and complaint handling is confined to grievances and complaints from students¹. The term ‘grievance’ is used from this point as a generic term including any expression of dissatisfaction with some aspect of a student’s experience with the provider (including with agents or other related parties who represent or act on behalf of the provider).

Grievances typically fall into two classes: 

• minor issues that are suitable to be addressed informally and usually resolved easily (e.g. by a discussion with local staff, clarification of a misunderstanding etc)
• those that involve a formal process for resolution (such grievances are typically known as a ‘complaint’ or a ‘formal complaint’, to distinguish them from matters that are resolved informally). 

Purpose of this note

The purpose of this note is twofold:

• to give guidance to providers about TEQSA’s expectations
• to help students understand what they can expect from providers. 

Relevant Standards in the HES Framework 

The HES Framework addresses student grievances in several ways. They are addressed directly in Section 2.4 (Standards 2.4.1-2.4.5), which encompasses the requirement for providers to have mechanisms to address them, as well as various process requirements for formal complaints relating to:

• costs
• advocacy and support for students
• timeliness
• confidentiality
• fairness
• access to an independent third party if needed. 

Information about a provider’s grievance resolution process is to be in the public domain (e.g. on the provider’s website) and accessible to students (see Standard 7.2.2f). The information must be accurate, relevant and timely (Standard 7.2.1). Providers are required to document and record responses to formal complaints (Standard 7.3.3c). The provider’s corporate governing body is required to assure itself that the occurrence and nature of formal complaints are monitored and action is taken to address underlying causes (Standard 6.2.1j). This should be supported by regular reporting to the governing body, and providers should give consideration to making summary information publicly available. Students are to be given opportunities to provide feedback on their experience and student feedback should inform a provider’s monitoring, review and improvement processes (Standard 5.3.5). 

Staffing requirements (Section 3.2) include students having access to teaching staff for individual assistance (Standard 3.2.5). This is a situation where students may take the opportunity to raise grievances. It may also be an important potential means for informal resolution. The governing body is also required to take steps to create an environment in which students are treated equitably, and are able to participate in the deliberative and decision making processes of the provider (Standard 6.1.4). This too may represent a means to identify and resolve and/or prevent grievances in a collective sense through systemic changes to a provider’s operations. 

Intent of the Standards 

The overarching intent of the Standards is to achieve resolution of grievances as effectively as possible, to minimise the occurrence of unresolved grievances, and to achieve these goals with minimal adverse consequences for the provider or student(s) involved. 

While some types of grievances are best resolved locally and informally, more serious grievances, including allegations of assault or sexual harassment, are unlikely to be suitable for informal resolution. Some providers have had success with establishing a forum for restorative dialogue, and  some complaints need to be referred to the police. This needs to be acknowledged within the policy framework.

The Standards promote access to grievance processes in various ways and encourage an environment of evidence-based organisational learning to generate preventative improvements that aim to obviate the recurrence of similar issues. There is an expectation that students will be able to access institutional processes without charge or at reasonable cost and that access to review by a third party will be available in the event the provider’s internal processes do not lead to resolution of a formal complaint. 

The Standards do not, and cannot, require that all grievances or complaints will be resolved to the satisfaction of all parties. The Standards do however require that there is a genuine attempt to resolve genuine complaints, through consistent and fair application of policies and procedures without retribution. These requirements encompass delivery arrangements with other parties, which are required to be quality assured by the primary registered provider (Standards 5.4.1-5.4.2) and this includes responsibilities for grievance handling (Standard 2.4.1).

The scope of the Standards concerned with student grievances does not include handling grievances and disputes from staff or other parties. Appeals about academic decisions generally operate through academic processes and policies (usually approved by an academic governing body) and typically require application of particular academic expertise that may not be required for resolution of more general grievances. How such matters are dealt with (i.e. through separate or similar processes) is up to the provider. The Standards do however require that the relevant processes are made explicit to students (Standard 7.2.2f).

Some Standards also require providers to make available specific information to assist international students studying in Australia (e.g. Standard 7.2.2g). Careful attention to this requirement may obviate grievances arising in this area. Other Standards also attempt to obviate potential sources of dissatisfaction e.g. through clarifying student rights and obligations prior to enrolment (Standard 1.1.2) and through giving reasonable notice of changes to a provider’s operations that may affect students’ participation in an intended course(s) of study (Standard 7.2.4). 

Risks to quality 

Failure to engage in effective grievance handling, including implementation of preventive improvements informed by previous grievance cases, may manifest in various ways. These might include:

• poor communication with students leading to expectations that fuel complaints
• unresolved student dissatisfaction and consequent impact on demand
• diminished educational achievements
• avoidable disadvantage to students 
• adverse publicity, actions and reputational risk
• disruption and diversion of resources 
• recurrence of preventable issues, especially those relating to quality
• reduced performance on national quality indicators e.g. student experience, graduate satisfaction. 

What TEQSA will look for

This part of the guidance note covers the full extent of the Standards, and corresponding evidence that TEQSA may require, related to grievance handling. 
 

For new applicants seeking initial registration and course accreditation, TEQSA will require evidence to be provided in relation to all relevant Standards. 
 

For existing providers, the scope of Standards to be assessed and the evidence required for particular applications may vary. This is consistent with the regulatory principles in the TEQSA Act, under which TEQSA has discretion to vary the scope of its assessments and the related evidence required. In exercising this discretion, TEQSA will be guided by the provider’s regulatory history, its risk profile and its track record in delivering high-quality higher education. 
 

The evidence required for particular types of application is available from the application guides on the TEQSA website. 
 

Providers are required to comply with the Standards at all times, not just at the time of application, and TEQSA may seek evidence of compliance at other times if a risk of non-compliance is identified.

TEQSA recognises that providers may meet the requirements of the HES Framework in various ways, particularly in view of variations in the scale of providers and the nature of different courses of study. Students may also have varying expectations depending on previous experiences (e.g. entry via a pathway program) and the level of study involved (e.g. undergraduate vs postgraduate study). Nonetheless, TEQSA will need to be satisfied that providers are meeting and can be expected to continue to meet the requirements of the HES Framework, whatever their circumstances. In so doing, TEQSA will expect providers to demonstrate the following capabilities in particular. 

• Policies and Procedures:

TEQSA must be satisfied that these exist, are current, and are known to staff responsible for their implementation. TEQSA must also be satisfied that the provider’s policies and procedures are likely to be fit for their purpose and are consistent with the requirements of the standards, particularly Standards 2.4.1-2.4.5. This will include delegations of authority for implementation of procedures consistent with the scale and nature of the provider, and evidence that the relevant staff are equipped for their role in administering grievances, including through training. TEQSA will also need to be satisfied that the provider’s approach caters for grievances about any aspect of a student’s experience, including with agents and related parties (Standard 2.4.1) 

Grievances about particularly sensitive issues (such as assault and sexual harassment) may require more specific approaches, and TEQSA will need to be satisfied that a provider’s processes and staffing allocations are appropriate to deal with these matters. 

Dealing with grievances about sexual assault and sexual harassment requires an especially clear reporting and response pathway that offers students choices about how the information provided by them will be processed and responded to. Students may wish to disclose and receive support, but not proceed with a formal complaint. Policies and procedures need to focus on the safety and the support of the students involved, and staff should be specifically trained to receive such disclosures. The student decides whether an incident is reported to the police. 

• Communication and Access by Students: 

A provider will need to show that all relevant information required for students to access and participate in grievance processes is accurate, current and easily-locatable in the public domain (Standard 7.2.2.f), e.g. through a dedicated section of the provider’s website. TEQSA will need to be satisfied that students have been informed about grievance processes and how to access them by mechanisms that are relevant to the student cohorts involved e.g. online, via a student app, or a student handbook. Information for students will need to include who to contact and may include any additional advice that the provider regards as helpful e.g. advice to seek local resolution where practicable and how this might be done. If local (and informal) resolution is encouraged, TEQSA will expect that staff do not discourage students from lodging formal complaints where a student is not satisfied with the outcome of informal discussions.

Additionally, sexual assault and sexual harassment related grievance information needs to include definitions of behaviour that constitutes sexual assault or sexual harassment and contact details for support services. 

• Implementation: 

TEQSA will need to be satisfied that the provider’s handling of formal complaints (or future handling in the case of a new provider) is consistent with both the provider’s policies and the detailed requirements of the HES Framework, particularly the process requirements of Standards 2.4.2-2.4.4 concerning:
- costs
- consistency
- fairness
- confidentiality 
- absence of reprisal
- provision of advice 
- support
- recording decisions and informing the student in writing of the outcome and the reasons.

In so doing, TEQSA may draw on records of handling previous complaints (Standard 7.3.3c). TEQSA acknowledges that there may be a need for specific processes to handle vexatious complainants. Providers should make every effort to resolve complaints within reasonable timeframes that should be stated within the policy framework.

• Review and Improvement: 

TEQSA will need to be satisfied that there are processes for analysis and monitoring of complaints handling to generate improvements and implement preventative mechanisms where possible (see Standards 2.4.4, 6.2.1j), drawing on institutional records where needed (Standard 7.3.3c). Are there patterns of recurring complaints relating to particular issues or processes, and if so, what action is taken to address this? 

• Independent review: 

Providers must make provision for review by specified independent third parties (other than TEQSA) in the event that internal processes do not resolve a complaint, and ensure that records of the complaint are made available to the reviewer. Third party complaint-handling bodies for all students at public providers and international students at private providers are outlined on the TEQSA Complaints page. All students at public higher education providers have an avenue of appeal to the relevant Commonwealth, State or Territory Ombudsman, about administrative actions or decisions and the related processes, but only after all internal processes for resolution have been followed and concluded. Domestic students at private providers can contact the relevant state government consumer protection agency about issues covered by the Australian Consumer Law. The Overseas Students Ombudsman (OSO) investigates complaints from international students about private providers that relate to administrative actions or decisions made by the provider and the related processes, but not about broader educational quality issues. 

Private providers must make specific arrangements for independent review of complaints about issues not covered by a consumer protection agency or the OSO. 

Providers may make arrangements for grievances to be considered by an external qualified dispute resolver. This arrangement must provide for matters to be determined by the dispute resolver if mediation is not acceptable to either party or if mediation is undertaken but does not prove to be successful.

Guidelines for students

This section of the Guidance Note is intended as a prompt for students who are experiencing difficulties with a provider that are affecting their educational experience. The points raised here are based on typical practical experiences in the higher education sector and are intended to be helpful to students. 

Please note that these points are not exhaustive and do not replace the requirements of the HES Framework. Nor are they prescriptive, and they do not bind either TEQSA or providers in interpretation or application of the HES Framework.

Students who are dissatisfied about aspects of their educational experience could consider the following points:

• Your higher education provider (your provider) is required to have policies and procedures to resolve grievances and to tell you about them (e.g. on a website or in a student handbook). This includes policies and procedures about sexual assault and sexual harassment. You should look at these in relation to your circumstances. There will be particular procedures for appealing against, for example, an academic result. 
• Your provider is required to provide points of contact for resolution of grievances.
• You should clarify what the problem is, so that you can easily tell someone else, and you should also decide what you hope might be a satisfactory outcome.
• Some types of complaints or grievances are suitable to being addressed locally and informally at least in the first instance. Points of contact and/or advice on ways of going about this should be provided. This may be as simple as contacting your lecturer, another staff member or a student contact officer. You should not be discouraged from making a formal complaint if you are not satisfied with the outcome of an informal process. Some incidents will not be suited to informal resolution at all, including cases of assault or sexual harassment. 
• You should note that a provider’s policies may place some legitimate restrictions on matters that can be dealt with in its grievance-handling processes. For example, there may be quite separate processes for handling general matters (e.g. perceived tardiness in marking assignments) and some particular matters (e.g. academic decisions, such as disputing a grade awarded). Some matters may also be protected against a complaint or appeal e.g. organisational policy decisions taken by bodies legitimately established for such purposes, such as an academic board or a governing council. 
• If you feel it is necessary to proceed with a formal complaint, you should note that this is a formal process and acquaint yourself with the process. Some matters that you should be aware of include that a formal process will require you to express your complaint in writing and records of the process will need to be maintained. Formal responses from the provider will be in writing. Providers may or may not be able to respond to anonymous complaints, depending on their legal framework.
• When you disclose an incident of sexual assault or sexual harassment, unless there are legal requirements because of your age, you decide whether a formal report is made, and whether the incident is reported to police. 
• You should note that providers cannot impose unreasonable costs for handling a complaint and that you are able to have support in the process (e.g. from a friend or an advocate, such as a member of the student association, but not normally from a legal representative). In the case of sexual assault or sexual harassment your provider should connect you with counselling and academic support as required. 
• A provider is required to deliver timely resolution of complaints and to keep you informed of progress. You should note that resolution of complaints can sometimes be complex and, in some cases, it may be to your advantage to agree to allowing extra time, e.g. where you would have more time to prepare your case.
• A complaints-handling process should be confidential and preserve your privacy, unless you choose to do otherwise or disclosure is required by law. 
• Once a resolution has been reached, the provider should notify you in writing and implement any follow up actions as soon as reasonably practicable. 
• In the event that a complaint cannot be resolved by internal processes, a provider is required to identify an avenue for review by an independent third party. This may be within the provider (e.g. an independent student ombudsman) or an external reviewer.
• Grievance and complaints-handling processes assume the parties involved act in genuine good faith with a view to resolution. 

Resources and references

AS/NZS 10002:2014 Australian/New Zealand Standard™, Guidelines for complaint management in organizations.

Commonwealth Ombudsman (2009), Better Practice Guide to Complaint Handling.

Commonwealth Ombudsman, Overseas Student Ombudsman, and Australian Capital Territory (ACT) Ombudsman (2016), Complaint Handling at Universities: Australasian Best Practice Guidelines.

General advice on making complaints in the sector available on the TEQSA website.

Guidelines available on the Ombudsman New South Wales website.

Jackson, J., Fleming, H., Kamvounias, P., and Varnham, S. (2009), Good Practice Guide for Handling Complaints and Appeals in Australian Universities.

Resources for education providers (including fact sheets, best practice complaint handling checklist, and provider e-Newsletter) available on the Commonwealth Ombudsman website.

Resources for international students available on the Commonwealth Ombudsman website.

TEQSA, Guidance Note: Wellbeing and Safety

TEQSA welcomes the diversity of educational delivery across the sector and acknowledges that its guidance notes may not encompass all of the circumstances seen in the sector. TEQSA also recognises that the requirements of the HESF can be met in different ways according to the circumstances of the provider. Provided the requirements of the HESF are met, TEQSA will not prescribe how they are met. If in doubt, please contact the TEQSA Enquiries Management team at providerenquiries@teqsa.gov.au. 
 

Version #	Date	Key changes
1.0	23 October  2017	Made available as beta version for consultation.
1.1	22 February 2019	Amended in response to consultation feedback and to include the reference to the Guidance Note on Wellbeing and Safety.

 

 

Notes

1. 'Students' may include prospective students who have had some interactions with the provider (e.g. via an agent), current students (irrespective of mode of participation) and past students (most likely limited to a defined period after completion).