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Source: urlybits/2012/01/a-lot-has-changed-in-50-years/

Source: http://urlybits.com/2012/01/a-lot-has-changed-in-50-years/. Compliance, Cooperation & Collaboration Fay Bellis Manager – Quality Assurance 16 November 2012 fayb-qa@nmit.edu.au. Compliance – a definition “conforming to a rule, such as a specification, policy, standard or law.”

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Source: urlybits/2012/01/a-lot-has-changed-in-50-years/

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  1. Source: http://urlybits.com/2012/01/a-lot-has-changed-in-50-years/ 1

  2. Compliance, Cooperation & Collaboration Fay Bellis Manager – Quality Assurance 16 November 2012 fayb-qa@nmit.edu.au 2

  3. Compliance – adefinition • “conforming to a rule, such as a specification, policy, standard or law.” • “Regulatory compliance describes the goal that corporations or public agencies aspire to achieve in their efforts to ensure that personnel are aware of and take steps to comply with relevant laws and regulations.” • Source: http://en.wikipedia.org/wiki/Regulatory_compliance 3

  4. Compliance • (aTEQSA perspective) • “Compliance assessments involve auditing a particular provider’s compliance against the Threshold Standards for registration as a higher education provider.” • Source:http://www.teqsa.gov.au/about-teqsa 4

  5. Compliance • (the rules of the game) • “the Threshold Standards which all providers must meet in order to enter and remain within Australia’s higher education system.” • Source:http://www.teqsa.gov.au/about-teqsa 5

  6. Cooperation – adefinition • “the action or process of working together to the same end” • Source: http://oxforddictionaries.com/definition/english/cooperation 6

  7. Collaboration – adefinition • “the action of working with someone to produce something” • Source: http://oxforddictionaries.com/definition/english/collaboration 7

  8. NMIT’s Current Compliance Landscape (a backdrop) 8

  9. Compliance, Compliance, Everywhere Compliance !! • Against what?? • SNRs/AQTF standards (VET) • HE Threshold Standards (HE) • CRICOS / National Code of Practice • Performance Agreement/contracts • …and there’s more Legislation / Regulation Compliance 9

  10. Compliance, Compliance, Everywhere Compliance !! • Who By?? • TEQSA • Higher Education & Skills Group (HESG aka Skills Victoria) • DEEWR / DIIRSTE • ASQA • VRQA • Work Safe Victoria • and the list goes on … Legislation / Regulation Compliance 10

  11. 2010 – 2012 Audits So Far... 2010 Internal - 133 External - 39 2011 Internal - 143 External - 31 2012 Internal - 160 External - 32 completed, 11 yet to be completed 11

  12. 2010 - 2012 External Audits So Far... • RTO Re-registration (VRQA – 2010) • VCAL Re-registration (VRQA/VCAA - 2010) • Higher Education (VRQA / DEEWR/ AUQA/TEQSA – 2010, 2011, 2012): - Accreditation of new qualifications • - Re-accreditation of existing qualifications • Invalid Enrolment (HEGS (Skills Vic) – 2010, 2011, 2012) • Professional body accreditation eg CPA (2012) • ISO Certification (2010, 2011, 2012) • Animal Ethics (Animal Welfare Bureau - 2010) • CRICOS registration (ASQA/TEQSA – 2010, 2011, 2012) • Aquaculture (Primesafe – 2010, 2011, 2012) • AMEP & LLNP (DEEWR - 2010) • Dept Human Services – Disability Standards (DHS - 2010) • Bus Re-accreditation (Public Safety Transport Vic - 2010) • High Risk & CIC Training Courses (WorkSafe Vic – 2010, 2012) • Cattlecare Re-accreditation (AusMeat – 2010, 2011, 2012) • Victorian Auditor General’s Office (VAGO – 2010, 2011) • …just to mention a few 12

  13. Tertiary Education Quality and Standards Agency(TEQSA) • Responsible for : • Regulation & Registration of all HE providers (self accrediting and non-self accrediting) • Approval of delivery of courses for overseas students (CRICOS); • Accrediting HE courses; • Handling complaints about providers. • Source: www.teqsa.goc.au TEQSa Legislation / Regulation Compliance 13

  14. Victorian Registration & Qualifications Authority (VRQA) (Prior to ASQA assuming responsibility for NMIT – VET only) • Responsible for : • Regulation & Registration of 1300+ RTOs • Approve delivery of courses for overseas students (CRICOS); • Accredit HE courses; • Approve registration of NSAIs (HE); • Handle complaints about Victorian RTO’s including TAFEs. • Source: www.vrqa.vic.gov.au ASQA/ Vrqa Legislation / Regulation Compliance 14

  15. Australian Skills Quality Authority (ASQA) • national regulator for Australia’s vocational education and training sector. • ASQA regulates courses and training providers to ensure nationally approved quality standards are met. • Source: http://www.asqa.gov.au/about-asqa/about-asqa.html ASQA/ Vrqa Legislation / Regulation Compliance 15

  16. ASQA • as from July 2011 one of the core conditions of registration is that relevant applicants and RTOs comply with the requirements set out in the new VET Quality Framework. • VET Quality Framework • The VET Quality Framework is aimed at achieving greater national consistency in the way providers are registered and monitored and in how standards in the vocational education and training (VET) sector are enforced. ASQA VET Q Framework Legislation / Regulation Compliance 16

  17. ASQA • The VET Quality Framework comprises: • the Standards for National VET Regulator (NVR) Registered Training Organisations  • the Fit and Proper Person Requirements  • the Financial Viability Risk Assessment Requirements  • the Data Provision Requirements, and • the Australian Qualifications Framework. • http://www.asqa.gov.au/about-asqa/national-vet-regulation/vet-quality-framework.html ASQA VET Q Framework Legislation / Regulation Compliance 17

  18. Australian Quality Training Framework (AQTF) Or Stds for NVR Registered Training Organisations (SNRs) • National set of standards for VET system (legislation); • Approved by Ministerial Council; • Applies to all VET providers nationally; • Compliance monitored through audit by ASQA. ASQA SNR/ AQTF Legislation / Regulation Compliance 18

  19. AQTF/SNRs – a timeline • Established in 2001; • First version of AQTF was implemented in 2002; • Revised in 2005; • Revised in 2007 (known as AQTF 2007) and; • Again revised in 2010 (often referred to as AQTF 2010). AQSA AQTF Legislation / Regulation Compliance 19

  20. SNRs/AQTF • For continuing VET providers • this consists of: • 11 standards and 34 elements; • 3 Quality indicators • …applies to all VET delivery • (on & offshore) • and is legislation! ASQA SNR/ AQTF Legislation / Regulation Compliance 20

  21. SNR/AQTF • and now…A New Set of Standards – due for implementation from 2014 • “Change is a constant and, as we all know the VET industry in Australia is always analysing and reflecting on past judgements and then improving to meet the needs of its stakeholders. What we have today, may not be our needs of tomorrow. In the last couple years we have had a number of changes including the introduction of the VET Quality Framework, a new iteration of AQTF, and most recently amendments to the ESOS Act 2000” • NSSC has stated ‘The outcomes of this review will be a new set of standards for the regulation of VET, to be considered by SCOTESEin late 2013 for implementation from 2014. • http://www.nssc.natese.gov.au/home ASQA SNR/ AQTF V5 Legislation / Regulation Compliance 21

  22. SNRs/AQTF (Cont.) • Key Compliance and Audit Issues: • Teaching Staff Qualifications • Managing delivery (use of 3rd parties or subcontractors; offshore) • Industry involvement in developing TAS and Assessment validation & moderation • Systematic approach to continuous improvement incl. use of Quality Indicators • Recordkeeping practices • Students as consumers ASQA/ VRQA SNR/ AQTF Legislation / Regulation Compliance 22

  23. Higher Education and Skills Group (DEECD) • HESG (aka Skills Victoria) states that .... • “…responsible for monitoring the services offered by TAFE institutions” • and • “Audits are conducted to ensure that registered training organisations (RTOs) are fulfilling their contractual obligations...” • As part of this, HEGS undertakes a number of different audits. The ones applicable to NMIT are: • National Audits (annual) • Contract Compliance Audits (separate and independent to any other audits conducted by relevant regulatory bodies) • Source: http://www.education.vic.gov.au/training/providers/rto/Pages/default.aspx hegs ASQA/ VRQA SNR/ AQTF Legislation / Regulation Compliance 23

  24. HEGS(Cont.) • National (or IE) Audit • NCVER (DEEWR) conducts an annual audit to assess the accuracy of data on student participation; • Measure of performance is called the invalid enrolment (IE) rate; • An IE is where no evidence of student participation; • NMIT’s max error rate is 3%. Skills vic Vrqa vet provider guidelines SNR/ AQTF Legislation / Regulation Compliance 24

  25. HEGS (Cont.) • Contract compliance audits • “RTOs funded by government may be audited for compliance with the terms of their contracts… • …RTOs are audited on a risk management basis approx every 1-2 years.” • The main focus of these audits is on the RTO’s Business Processes : • RTO's internal audits and continual improvement process ; • Delivery of training to students ; • Qualifications of teachers/ trainers ; • Quality of the training and assessment instruments. HEGS ASQA/ VRQA SNR/ AQTF Legislation / Regulation Compliance 25

  26. HEGS (Contd.) • NMIT’s 2013 Performance Agreement (draft) states: • “Section 10 Audit or Review • 10.1 a) “… may conduct an audit…at any reasonable time.” • 10.2 f) conduct an internal audit of its compliance with the provisions of this Agreement during the 2013 calendar year, using a checklist supplied by the Commission. The internal audit must be: • Completed no later than 1 July 2013 • Signed off by the CEO; and • Provided to the Commission or its auditors on request…” HEGS AQSA / VRQA SNR/ AQTF Legislation / Regulation Compliance 26

  27. ESOS / CRICOS • The ESOS Act and Regulations set out the legal framework for the delivery of education to overseas students; • TEQSA/ASQA approves NMIT’s CRICOS Registration (provider & course) • Each time you apply to add a course – you risk being audited Esos cricos HEGS ASQA / VRQA SNR/ AQTF Legislation / Regulation Compliance 27

  28. ESOS / CRICOS (Cont.) • What is CRICOS? • Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS) • Database 1200+ Australian education institutions; • Any education institution that recruits, enrols or teaches overseas students, must be CRICOS registered; • Education institutions must register each course they offer to overseas students. Esos cricos Skills vic AQSA / VRQA SNR/ AQTF Legislation / Regulation Compliance 28

  29. ESOS / CRICOS (Cont.) • National Code of Practice • All CRICOS-registered providers must comply with National Code of Practice • DEEWR manages the legislative framework and TEQSA/ASQA: • - Maintains CRICOS • - Works closely with DIAC • - Can investigate to make sure providers are complying with ESOS  • Can impose sanctions • …NMIT is audited by ASQA / TEQSA Esos cricos HEGS ASQA / VRQA SNR/ AQTF Legislation / Regulation Compliance 29

  30. Higher Education Threshold Standards • Provider Standards • Qualification Standards • Teaching and Learning Standards • Information Standards • Research Standards • Source: http://www.teqsa.gov.au/higher-education-threshold-standards HE Threshold Stds deewr Esos cricos Skills vic Vrqa vet provider guidelines SNR/ AQTF Legislation / Regulation Compliance 30

  31. Tertiary Education Quality & Standards Agency (TEQSA) • will undertake both compliance assessments and quality assessments • Compliance assessments involve auditing a particular provider’s compliance against the Threshold Standards for registration as a higher education provider. • Quality assessments can either be an assessment of the quality of an individual provider or a review of an issue across a number of providers (a thematic review) • Source: http://www.teqsa.gov.au/ HE Threshold Stds teqsa deewr Esos cricos Skills vic Vrqa vet provider guidelines SNR/ AQTF Legislation / Regulation Compliance 31

  32. TEQSA - Provider Renewal of Registration • application must be made at least 180 days before the registration is to end • …NMIT’s expires and is due for possible audit in 2014 • We have started the project! HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA / VRQA SNR/ AQTF Legislation / Regulation Compliance 32

  33. Then there are the other ones … • NMIT undertakes compliance with various registrations, certifications and accreditations required by our operations in order to generate FFS income: HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA / VRQA SNR/ AQTF Legislation / Regulation Compliance 33

  34. Organisation for International Standards (ISO) • International standard • Applies to all aspects of design and delivery of training • Audited regularly (9 mthly) • 17 years of certification HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA / VRQA AQTF Legislation / Regulation Compliance ISO 34

  35. Cattlecare • Triggered by cattle production activities at Yan Yean • Industry standard accreditation • Audited annually HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA / VRQA AQTF Legislation / Regulation Compliance ISO Cattlecare 35

  36. Meat Processing Facility • HACCP • Externally audited • Audited 4 times per year HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA /VRQA AQTF Legislation / Regulation Compliance Meat Processing ISO Cattlecare 36

  37. Aquaculture Training And Research Centre (ATARC) • Compulsory requirement for seafood processing in the facility • Audited by Primesafe Victoria • Audited annually HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA/VRQA AQTF Legislation / Regulation Compliance ISO Meat Processing Cattlecare primesafe 37

  38. National ELT Accreditation Scheme (NEAS) • Required for AMEP contract - English Language Testing(ELT) • Audited every 12-18 months HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA/VRQA AQTF Legislation / Regulation NEAS Compliance ISO Meat Processing Cattlecare primesafe 38

  39. Various Accreditations for Courses • Accounting - CPA / ICAA / NIA • Computer Society of Australia • and so on HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA/VRQA SNR/ AQTF Legislation / Regulation NEAS Compliance CPA ICAA NIA CSA ISO Meat Processing Cattlecare primesafe 39

  40. teqsa HE Threshold Stds HEGS deewr AQSA / VRQA SNR/AQTF Esos cricos NEAS Legislation / Regulation Compliance CPA ICAA NIA CSA NMIT Meat Processing ISO Cattlecare Primesafe 40

  41. back to the CCC challenge! • TEQSA says it has: • “… a dual focus on ensuring that higher education providers meet minimum standards, as well as promoting best practice and improving the quality of the higher education sector as a whole, TEQSA is a ‘next generation’ regulator and a truly unique organisation…” • Source: http://www.teqsa.gov.au/about-teqsa HE Threshold Stds teqsa deewr Esos cricos HEGS ASQA / VRQA AQTF Legislation / Regulation Compliance 41

  42. Cooperation and Collaboration Introducing…. 42

  43. Quality In Education and Training Network aka QuIET Network http://www.quietnetwork.com.au/ 43

  44. QuIET Network • established 1994 • provides support to members in their pursuit of Quality and best practice • provides a single voice from a quality perspective with regulators and other bodies 44

  45. QuIET Network - operations • executive committee drawn from (by vote) the membership • constitution that can only be changed by membership vote • approx 5 meetings x 2 hr per year • AGM held each year • meetings hosted by a member 45

  46. QuIET Network - Meetings • Guest speaker • Professional development • Sharing/showcasing good practice • Cuppa and share the war stories (aka networking) • http://www.quietnetwork.com.au 46

  47. QuIET Network - Website • Q&A with the network via posts • Quick links and support materials • http://www.quietnetwork.com.au 47

  48. Here’s the real Challenge • How to get compliance • using/with • cooperation and collaboration • remembering that we are in competition? 48

  49. QuIET Network – it works ! • why? • focus on the quality spirit • are all in the same boat • struggling with the same issues • mix of new and old heads 49

  50. QuIET Network – it works ! • how? • collegial • open • give/take without prejudice • focus on is on giving/sharing/helping 50

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