1. 2 3 4 5 6 7 8 9 against what?? snrs/aqtf standards (vet) he threshold standards (he) cricos /...

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

Compliance,

Cooperation &

Collaboration Fay Bellis

Manager – Quality Assurance16 November 2012

[email protected]

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Compliance – a definition

• “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

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Compliance (a TEQSA 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

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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

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Cooperation – a definition

“the action or process of working together to the same end”

Source: http://oxforddictionaries.com/definition/english/cooperation6

Collaboration – a definition

“the action of working with someone to produce something”

Source: http://oxforddictionaries.com/definition/english/collaboration7

NMIT’s CurrentCompliance Landscape

(a backdrop)

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Against what??

SNRs/AQTF standards (VET)HE Threshold Standards (HE)CRICOS / National Code of Practice

Performance Agreement/contracts

…and there’s more

Compliance, Compliance, Everywhere Compliance !!

Compliance

Legislation / Regulation

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Who By??

TEQSAHigher Education & Skills Group (HESG aka Skills Victoria)

DEEWR / DIIRSTEASQAVRQAWork Safe Victoria

and the list goes on …

Compliance, Compliance, Everywhere Compliance !!

Compliance


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2010Internal - 133External - 39 2011 Internal - 143External - 31 2012Internal - 160External - 32 completed, 11 yet to be completed

2010 – 2012 Audits So Far...

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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

2010 - 2012 External Audits So Far...

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

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Compliance


TEQSa

http://www.vrqa.vic.gov.au/

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.au14

Compliance


ASQA/

Vrqa

http://www.vrqa.vic.gov.au/

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

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Compliance


ASQA/

Vrqa

http://www.asqa.gov.au/about-asqa/about-asqa.html

Compliance


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 FrameworkThe 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.

VET Q Framework

ASQA

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http://www.asqa.gov.au/about-asqa/national-vet-regulation/vet-quality-framework.html

Compliance


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.


VET Q Framework

ASQA

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Compliance


ASQA

National set of standards for VET system (legislation);

Approved by Ministerial Council;

Applies to all VET providers nationally;

Compliance monitored through audit by ASQA.

SNR/AQTF

Australian Quality Training Framework (AQTF)Or

Stds for NVR Registered Training Organisations (SNRs)

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Compliance


AQSA

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).

AQTF

AQTF/SNRs – a timeline

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Compliance


ASQA

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!

SNR/AQTF

SNRs/AQTF

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Compliance


ASQA

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 SCOTESE in late 2013 for implementation from 2014.

http://www.nssc.natese.gov.au/home

SNR/AQTF V5

SNR/AQTF

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Compliance


ASQA/

VRQA

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

SNRs/AQTF (Cont.)

SNR/AQTF

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Compliance


ASQA/

VRQA

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

SNR/AQTF

Higher Education and Skills Group (DEECD)

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http://www.education.vic.gov.au/training/providers/rto/Pages/default.aspx

Compliance


Vrqa vet

provider

guidelines

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%.

Skill

s vi

c

SNR/AQTF

HEGS(Cont.)

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Compliance


ASQA/

VRQA

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.

HEG

S

SNR/AQTF

HEGS (Cont.)

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Compliance


AQSA /

VRQA

NMIT’s 2013 Performance Agreement (draft) states: “Section 10 Audit or Review10.1 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…”

HEG

S

SNR/AQTF

HEGS (Contd.)

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Compliance


ASQA /

VRQA

HEG

S

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

SNR/AQTF

ESOS / CRICOS

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Compliance


AQSA /

VRQA

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.

Skill

s vi

c

Esos cricos

SNR/AQTF

ESOS / CRICOS (Cont.)

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Compliance


ASQA /

VRQA

HEG

S

Esos cricos

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

SNR/AQTF

ESOS / CRICOS (Cont.)

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Compliance


Vrqa vet

provider

guidelines

Skill

s vi

c

Esos cricos

deew

r

HE Threshold Stds

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

SNR/AQTF

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http://www.teqsa.gov.au/higher-education-threshold-standards

Compliance


Vrqa vet

provider

guidelines

Skill

s vi

c

Esos cricos deew

r

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/

SNR/AQTF

HE Threshold Stds

teqsa

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http://www.teqsa.gov.au/

http://www.teqsa.gov.au/

Compliance


ASQA /

VRQA

HEG

S

Esos cricos

deew

r

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 2014We have started the project!

SNR/AQTF

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teqsa

HE Threshold Stds

Compliance


ASQA /

VRQA

HEG

S

Esos cricos deew

r

Then there are the other ones …

SNR/AQTF

teqsa

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NMIT undertakes compliance with various registrations, certifications and accreditations required by our operations in order to generate FFS income:

HE Threshold Stds

Compliance


ASQA /

VRQA

HEG

S

Esos cricos deew

r

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

AQTF

teqsa

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ISO

HE Threshold Stds

Compliance


ASQA /

VRQA

HEG

S

Esos cricos deew

r

Cattlecare

Triggered by cattle production activities at Yan Yean

Industry standard accreditation

Audited annually

AQTF

teqsa

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ISO

Cattlecare

HE Threshold Stds

Compliance


ASQA

/VRQA

HEG

S

Esos cricos

deew

r

Meat Processing Facility

HACCP

Externally audited

Audited 4 times per year

AQTF

teqsa

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ISOCattlecare

Meat

Processing

HE Threshold Stds

Compliance


ASQA/

VRQA

HEG

S

Esos cricos

deew

r

Aquaculture Training And Research Centre (ATARC)

Compulsory requirement for seafood processing in the facility

Audited by Primesafe Victoria

Audited annually

AQTF

teqsa

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ISOCattlecare

Meat Processing

prim

esaf

e

HE Threshold Stds

Compliance


ASQA/

VRQA

HEG

S

Esos cricos

deew

r

National ELT Accreditation Scheme (NEAS)

Required for AMEP contract - English Language Testing(ELT)

Audited every 12-18 months

AQTF

teqsa

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ISO

Meat Processing

NEA

S

prim

esaf

e

Cattlecare

HE Threshold Stds

Compliance


ASQA/

VRQA

HEG

S

Esos cricos

deew

r

Various Accreditations for Courses

Accounting - CPA / ICAA / NIA

Computer Society of Australia

and so on

SNR/AQTF

teqsa

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ISO

Meat Processing

CPA

IC

AA

NIA

CSA

prim

esaf

e

Cattlecare

HE Threshold Stds

NEA

S

NMIT

Compliance


AQSA /

VRQA

HEGSEsos

cricos

deew

r

SNR/AQTF

HE Threshold Stds teqsa

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CPA IC

AA

NIA C

SA

Prim

esaf

e

Cattlecare

ISO

Meat

Processing

NEAS

Compliance


ASQA /

VRQA

HEG

S

Esos cricos deew

r

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

AQTF

teqsa

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HE Threshold Stds

http://www.teqsa.gov.au/about-teqsa

Cooperation and Collaboration

Introducing….

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Quality In

Education and Training Network

aka

QuIET Network

http://www.quietnetwork.com.au/

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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

QuIET Network

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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

QuIET Network - operations

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Guest speaker

Professional development

Sharing/showcasing good practice

Cuppa and share the war stories (aka networking)

http://www.quietnetwork.com.au

QuIET Network - Meetings

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Q&A with the network via posts

Quick links and support materials

http://www.quietnetwork.com.au

QuIET Network - Website

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Here’s the real Challenge

How to get compliance using/with

cooperation and collaborationremembering that we are in

competition?48

why? focus on the quality spirit

are all in the same boat struggling with the same

issues mix of new and old heads

QuIET Network – it works !

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how?

collegial

open

give/take without prejudice

focus on is on giving/sharing/helping

QuIET Network – it works !

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Compliance?

same standards

same auditors/regulators

same pressures

same issues

CCC !

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Cooperation?

collegial

open

give/take without prejudice

sharing/helping

CCC !

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Collaboration?

working together to achieve a goal

many hands/heads make light work

give/take and play nice

have a laugh – it’s better than crying

CCC !

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Coop

era

tio

nC

olla

bora

tionComplian

ce

Cooperation and CollaborationSupports

BUT…

One thing is

for certain…

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Source:http://www.leunig.com.au/

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