OBJECTIVE 1: QUALITY ASSURE AND REGULATE THE SECTOR IN A TIMELY, TRANSPARENT AND RISK-REFLECTIVE MANNER

During 2019-20, significant work was undertaken as part of TEQSA's program of continual improvement of the delivery of its functions. This work included:

• reviewing the operation of the case management approach, which identified opportunities to improve response times and the clarity and consistency of information to providers
• streamlining assessment processes and improving engagement with applicants
• finalising legacy assessments from previous years
• developing expedited regulatory processes in response to the COVID-19 pandemic
• analysing the financial impact of the pandemic on providers
• working with professional accreditation bodies and the Australian Skills Quality Authority on opportunities to streamline processes and address the impact of the pandemic on providers
• working with international quality assurance agencies and networks to address cross-border risks
• improving the analysis of material change notifications and concerns about providers.

One action to address Objective 1 was not achieved, in part due to the need to focus on supporting the sector as the impact of the pandemic escalated during the latter half of 2019-20 and also due to a large number of legacy assessments from previous years. However, TEQSA successfully continued to undertake its quality assurance and regulatory functions, including a high level of engagement with providers, despite shifting to working from home arrangements during the pandemic. In addition, the impact of increased resources, implementation of improved assessment processes and a focus on completing legacy assessments resulted in improvements in both the number of assessments completed and the timeliness of decisions. The decision not to proceed with the annual stakeholder survey during the pandemic meant that for some targets there was a lack of robust evidence to assess the agency’s performance. Despite the disruption caused by the COVID-19 pandemic, two of the actions for Objective 1 were achieved, one was partially achieved, and another was not achieved. The overall performance against Objective 1 was assessed as partially achieved.

Action 1.1: Improve the case management approach

Case management approach review

In 2019-20, TEQSA completed a review of its case management model to identify opportunities to enhance its partnership approach. The review of the current model reflected on feedback received in past annual stakeholder surveys and meetings with independent providers, and included significant internal and external consultation, and consideration of the operating models of other regulators to draw on best practice examples. TEQSA was also very grateful for Professor Valerie Braithwaite’s contribution regarding the key elements of effective partnership models. While TEQSA recognises that many providers value a single point of contact within the agency, there is scope for using other approaches to improve the timeliness, clarity and consistency of TEQSA's communication.

The review identified the following opportunities for improvement, which will be key focus areas in 2020-21:

• improving information management capabilities to gain a stronger understanding of the common questions and enquiries from providers so that TEQSA can develop resources to support the sector in understanding or addressing common challenges
• strengthening and coordinating internal quality assurance processes to drive improvements in timeliness, clarity and consistency
• continuing to partner with peak bodies and providers to improve TEQSA's assessment processes and ensure guidance meets the needs of the sector
• arranging provider engagement training for all assessment staff.

Working with the sector during the COVID-19 pandemic

TEQSA pivoted quickly to support the sector in response to the impact of the COVID-19 pandemic. From March 2020, TEQSA was in contact with providers to understand the challenges they were facing. This included registered higher education providers, non-higher education providers (ELICOS providers), and prospective providers which had submitted applications or were in the process of applying for TEQSA registration.

Extensions to registration and accreditation were offered to providers with applications due between March 2020 and 30 June 2022. The extensions were for a maximum of three years (a limited number of CRICOS registrations were extended beyond three years in order to align with their TEQSA registration). In determining whether or not an extension was appropriate and the extension timeframe, TEQSA also considered the provider's risk rating and regulatory history. For providers that had previously been extended (and thus could not be extended again under the current legislation), TEQSA offered to shorten the 180-day period to lodge applications. TEQSA extended the registration period of 35 providers and the accreditation period of 119 courses to reduce the administrative burden of regulation on providers in response to the pandemic. Decisions regarding additional providers eligible for extensions will continue to be finalised in 2020-21.

In addition to reducing the administrative burden of regulation, TEQSA also applied a flexible regulatory approach to support the sector in shifting operations and keeping students engaged in their study. This included a flexible approach to ensuring the location and mode of course delivery did not impede the attainment of an Australian higher education qualification. TEQSA worked in partnership with Australian Skills Quality Authority and the Department of Education, Skills and Employment to ensure timely, consistent and clear advice was provided to students and the sector. TEQSA published a range of guidance materials, including key considerations for online delivery, targeted material change information and a set of frequently asked questions.

In response to the pandemic, the government announced the Higher Education Relief Package which encouraged providers to develop six-month online short courses focused on identified national priorities. The government amended the Australian Qualifications Framework (AQF) to introduce a new qualification called an 'Undergraduate Certificate'. TEQSA developed a streamlined approach for the assessment of new online Undergraduate Certificate and Graduate Certificate courses. This ensured expedited assessment to help providers make these courses available during the pandemic. The assessment of 80 applications for accreditation of short courses was completed with a median processing time of two days.

Action 1.2: Implement mechanisms to ensure efficient assessment of applications

Performance against targets

TEQSA did not meet its target of completing renewal of registration (re-registration) applications from low-risk providers within six months, with only half completed within six months. In 2019-20, the proportion of adverse outcomes for re-registration applications for low-risk providers was higher than in previous years (see Table 8). The re-registration of one provider took considerably longer as TEQSA considered a range of risks following the provider being named (among others) in an Australian Broadcasting Corporation Four Corners media report on English language proficiency entry standards and admissions practices.

In the case of applications for accreditation from low-risk providers, the overall median time for all relevant decisions was 3.8 months compared with the target of three months. For applications where there was a preliminary assessment of non-compliance, the median timeframe for providing assessment reports to applicants was 5.6 months compared with the target of four months.

Improvements to assessment processes

TEQSA is committed to streamlining and improving the timeliness of its assessment activities and ensuring case managers engage early and transparently with providers. Key business improvement strategies implemented in 2019-20 included:

• conducting comprehensive reviews of business processes to identify opportunities to streamline processes, including increased specialisation
• extending registration and accreditation periods for some providers to maintain manageable workloads, supporting TEQSA’s efforts to improve timeliness and target high-risk matters
• enhancing TEQSA’s focus on providers' own self-assurance processes as TEQSA moves into the second seven-year cycle of assessment activities
• implementing an early engagement approach to highlight concerns or deficiencies following an initial assessment of a provider’s application and ensuring that providers have sufficient time to respond.

Due to the COVID-19 pandemic, some business improvement projects were put on hold to manage a range of new priorities and to enable the shift of all TEQSA staff to remote working arrangements.

Regulatory caseload in 2019-20

The profile of assessments in the 2019-20 caseload was comparable with that of 2018-19, with the exception of short courses and applications for renewal of accreditation (re-accreditation). In 2020, online short courses leading to Undergraduate Certificates and Graduate Certificates were announced by the government in response to the pandemic. TEQSA made decisions about 80 applications of these short courses for 23 providers (which do not have the authority to accredit their own courses). The 2019-20 caseload also included an increase in applications for the re-accreditation of courses that were processed in a very short space of time.

Table 1 sets out TEQSA's caseload over the last three years. In 2019-20, TEQSA received 42 per cent more applications in total than the previous year and completed 43 per cent more assessments compared with 2018-19, primarily due to the number of applications for short courses and re-accreditations.

Table 2 sets out the total number of assessments completed and decisions made over the last three years. In 2019-20, there was a 45 per cent increase in the number of decisions made including short courses (or a 38 per cent increase if short courses are excluded).

Decision timeframes

In 2019-20, there was an improvement in the overall median processing time as shown in Table 3. This improvement was primarily due to an increase in the proportion of applications decided that require less time to assess, such as applications for re-accreditation. Re-accreditation processing times decreased by 47 per cent from 413 days to 220 days, while the median time for accreditations remained constant. In the case of applications for course accreditation from low-risk providers, 64 per cent were completed in fewer than four months.

TEQSA commenced 2019-20 with a number of re-registration assessments carried over from previous financial years, including seven applications that had been under assessment for 12 months or more. During 2019-20, there was a concerted effort to finalise these legacy re-registration assessments, which resulted in a significant reduction in the median age of the re-registration caseload from 14 months on 30 June 2019 to 4.8 months as at 30 June 2020. Only two applications that had been under assessment for 12 months or more remained active at the end of 2019-20.

Forty-three per cent of applications lodged in 2019-20 were decided during the year, with a processing time of five months or less. As shown in Table 4, when the legacy re-registration applications are excluded from analysis, the median processing time was 191 days, considerably less than the overall median of 387 days.

Table 5 sets out the median time to decision about applications for re-registration and accreditation from registered providers with and without adverse findings over the last two years. Where there was no evidence of non-compliance during the assessment process (i.e. there were no proposed adverse findings), median timeframes reduced significantly compared with 2018-19, by about 30 per cent for accreditations (from 152 to 104 days) and about 50 per cent for re-registrations (from 360 to 168 days).

Performance in 2019-20 against the requirements of the TEQSA Act

Under its governing legislation, TEQSA is obliged to provide particular forms of advice and complete certain processes within specified timeframes. Table 6 contains information about TEQSA's performance in meeting legislative deadlines required by the TEQSA Act. In 2019-20, the agency met all of its legislative deadlines except in the case of one decision about an application for course accreditation.

Adverse decisions

Adverse decisions include decisions to: grant a period of registration or accreditation that is less than the maximum seven years; impose conditions; cancel accreditation or registration; and reject an application.

TEQSA informs applicants of proposed adverse decisions, including the reasons for those proposed decisions, and no decision is made until the applicant has had an opportunity to respond to the basis for the proposed decision.

In 2019-20, the proportion of re-registration assessments with an adverse decision increased slightly from the previous year.

Action 1.3: Ensure regulation of the sector is reflective of the risks to students and the sector

TEQSA's approach to provider risk

RISK ASSESSMENT FRAMEWORK

TEQSA’s Risk Assessment Framework is a key aspect of how TEQSA assesses risk. The Risk Assessment Framework provides a snapshot of higher education providers to help prioritise TEQSA’s focus in undertaking its assurance activities. In July 2019, the agency commenced consultations with the sector on the Risk Assessment Framework and published the Risk Assessment Framework Consultation: Summary Report in January 2020.

The agency's risk-reflective approach to assessment means that it varies evidence requirements based on all available information about each registered provider’s organisational characteristics and risk profile, and seeks to ensure that the agency’s and provider’s resources are targeted to areas of concern.

Cycle 7 of the annual risk assessment was completed during 2019-20 using data validated by the Department of Education, Skills and Employment from the Higher Education Information Management System. As in past years, all providers were sent a risk assessment report and provided an opportunity to respond to the initial findings before each provider risk assessment was finalised.

ALIGNMENT OF RISK PROFILES AND DECISION OUTCOMES

In 2019-20, TEQSA re-registered 18 providers with ratings across the risk categories. Table 8 illustrates the percentage of adverse re-registration decisions for these risk categories for the last three years.

TEQSA’s risk assessments do not draw conclusions about compliance with the HES Framework or the ESOS Act and National Code. The Risk Assessment Framework focuses on key risks across the sector that can be readily measured on a regular basis. However, in determining the scope of a regulatory assessment, TEQSA will consider a range of factors in addition to the Risk Assessment Framework, including a provider’s compliance history, concerns received by TEQSA and open source information.

Table 9 demonstrates the relationship between the risk profile of a provider and the outcome of regulatory decisions about course accreditation and re-accreditation applications for registered providers. TEQSA only accredits or re-accredits courses for providers without self-accrediting authority. The table highlights the high proportion of course accreditation and re-accreditation decisions in 2019-20 with no adverse outcome (i.e. accreditation period of seven years and no conditions). This shift in part reflects a broader approach adopted by TEQSA where engagement with providers is undertaken at an earlier stage of the assessment process to help resolve compliance concerns in a more collaborative manner prior to a decision. This has resulted in fewer conditions being imposed and an increased use of non-statutory information requests.

Professional accreditation

TEQSA continued to work with industry professional bodies during 2019-20 to consider and develop streamlined approaches to accreditation with the aim of minimising the administrative cost burdens on providers resulting from traditional accreditation. Projects included: standards mapping with Engineers Australia; a workshop to discuss streamlining and duplication between the standards of the HES Framework and those of the Australian Dental Council; and standards mapping with the Queensland College of Teachers against the Australian Institute for Teaching and School Leadership (AITSL) standards.

To further promote streamlined approaches to accreditation between the requirements of the HES Framework and those of industry professional bodies, TEQSA continued its work in the area of joint accreditation and undertook joint course accreditations with the Financial Adviser Standards and Ethics Authority and providers with the Queensland College of Teachers. This work involved using industry professional representatives with higher education expertise as TEQSA Experts in the course accreditation process.

TEQSA continued to be active in its advisory work with professional body peak groups, including providing ongoing advice to AITSL and through being a member of the Australian Health Practitioner Regulation Agency Accreditation Advisory Committee.

In response to the COVID-19 pandemic, TEQSA has been communicating with industry professional bodies with which it has a memorandum of understanding (MoU) regarding the need to be flexible in the approach to accreditation and professional registration during the pandemic. TEQSA issued a number of communications to the sector as responses to the pandemic developed. One initiative, which TEQSA strongly supported, was the development of the Joint Statement of Principles for the Higher Education Sector COVID-19 Response (May 2020) signed by:

• Australian Council of Professions
• Universities Australia (UA)
• Independent Tertiary Education Council Australia (ITECA)
• Independent Higher Education Australia (IHEA)
• Australian Collaborative Education Network.

TEQSA has 39 MoUs in place with professional and industry bodies. These set out the basis for sharing of information about regulatory and other matters. During 2019-20, TEQSA signed or renewed agreements with the organisations listed in Table 10.

Working with international quality agencies

TEQSA is an active member of a number of global higher education quality assurance networks, including:

• International Network for Quality Assurance Agencies in Higher Education (INQAAHE)
• Council for Higher Education Association International Quality Group (CIQG)
• Asia Pacific Quality Network (APQN)
• Quality Beyond Boundaries Group (QBBG).

Through its membership and contribution to these groups, TEQSA plays an important role in protecting, enhancing and promoting the quality and integrity of Australia’s higher education sector internationally.

During 2019-20, TEQSA continued engagement with international quality assurance agencies and networks through various activities, including:

• participation in the QBBG annual meeting in Singapore in October 2019 as well as the May 2020 extraordinary meeting to discuss each agency's response to the COVID-19 pandemic, which included discussion on approaches to quality assurance of online learning and the future of digital learning
• writing to international Memorandum of Cooperation (MoC) partners in April 2020, seeking to protect the standing of Australian higher education qualifications and explain the move to online delivery of courses and quality assurance in response to the disruption caused by the COVID-19 pandemic
• regular teleconferences with its international MoC partners
• TEQSA’s International Quality Assurance Staff Exchange Program.

During 2019-20, TEQSA signed or renewed MoCs with the organisations listed in Table 11.

INQAAHE TOOLKIT TO SUPPORT INTERNATIONAL QUALITY ASSURANCE AGENCIES TO ADDRESS ACADEMIC INTEGRITY AND CONTRACT CHEATING

In 2019-20, TEQSA produced a toolkit to support international quality assurance agencies with addressing academic integrity and contract cheating in their various jurisdictions. The development of the toolkit was funded through a grant awarded to TEQSA by INQAAHE in 2018-19. The toolkit was informed by current and emerging research into both academic integrity and contract cheating, and includes consideration of a broad suite of frameworks, approaches, and systems for the quality assurance of higher education. Case studies within the toolkit showcase responses to a sector-wide or provider-specific academic integrity issue.

The Toolkit to support quality assurance agencies to address academic integrity and contract cheating is available at: www.teqsa.gov.au/latest-news/publications/toolkit-support-quality-assurance-agencies-address-academic-integrity.

Action 1.4: Enhance TEQSA’s approach to monitoring, assessment and management of risks

Provider risk in 2019-20

HIGH-RISK PROVIDER TREATMENT PLANS

TEQSA considers the performance of providers annually through its provider risk assessment process. The risk assessment cycle is an important mechanism to identify high-risk providers that may warrant further engagement from TEQSA. This year, due to the COVID-19 pandemic, the risk context shifted significantly.

The financial impact of the pandemic on Australia’s higher education sector has been considerable. In early 2020, when travel restrictions resulted in students from China being unable to return to Australia, TEQSA engaged with all universities (and other higher education providers with significant numbers of Chinese students) to better understand the financial implications of the travel restrictions and providers' risk mitigation strategies. This included face-to-face meetings with the providers considered to be impacted most significantly. This early engagement strategy ensured TEQSA had an accurate and up-to-date understanding of the financial risks as well as adequate oversight of providers’ strategies to mitigate those risks. As the pandemic escalated, TEQSA obtained regular financial updates from a number of particularly affected providers and continued to monitor the sector closely.

RISK APPETITE

In 2019-20, TEQSA developed risk appetite statements for regulatory and enterprise risks. Work is underway to integrate these statements within TEQSA’s risk management framework. In addition, the implementation of an improved approach to scoping of assessments draws on all available data and intelligence and is proportionate to the potential risks identified.

Risk monitoring and compliance

CONCERNS ABOUT PROVIDERS

Assessing concerns received about higher education providers is a key aspect of TEQSA’s risk monitoring approach.

In 2019-20, TEQSA improved its approach to managing concerns about regulated entities. This included: improving public information; implementing a robust risk based triage process to more effectively prioritise concerns; and improving the categorisation of concerns to enhance TEQSA's reporting, oversight and market intelligence about providers. The improved approach has enhanced the timeliness and usefulness of the information used by TEQSA to monitor risk.

Table 12 sets out the number of concerns received by TEQSA over the last two years that are within TEQSA's legislative remit. In 2019-20, TEQSA received 497 concerns about providers, with 77 outside of TEQSA's jurisdiction which were redirected to the relevant agencies, where possible. In 2019-20, there was a 12 per cent increase in concerns received that were within TEQSA's remit compared with the previous year. Of these 420 concerns, the majority (33 per cent) were received between April and June 2020; and 54 related to the impact of the COVID-19 pandemic.

Table 13 sets out the top ten types of concerns received by TEQSA over the last two years. In 2019-20, there was a substantial increase in concerns received about the delivery of teaching and courses, and the adequacy of student support and the learning environment, compared with the previous year. Many of these concerns related to changes to delivery as a result of the pandemic, particularly the move to online delivery. In the majority of cases, complainants were referred to their provider's internal complaints mechanisms for consideration of their complaint.

MATERIAL CHANGES

All registered higher education providers are required to notify TEQSA of events that will significantly affect their ability to meet the requirements of the HES Framework. TEQSA considers each of these notifications carefully to identify potential areas of substantial risk that may warrant further consideration.

In 2019-20, TEQSA received an unprecedented number of material change notifications, primarily as a result of changes providers had to make to respond to the COVID-19 pandemic, including shifting to online delivery. Table 14 sets out the top 10 categories of material change notifications received over the last two years. TEQSA received 441 material change notifications in 2019-20, which represents a 68 per cent increase on the previous year. The vast majority of notifications required no further action from TEQSA as providers demonstrated that they had considered the risks and had adequate mitigation measures in place. There were 14 material change notifications which resulted in formal compliance assessments.

OBJECTIVE 2: SUPPORT PROVIDERS TO DELIVER QUALITY HIGHER EDUCATION, PROTECT STUDENT INTERESTS AND ENHANCE THE REPUTATION AND COMPETITIVENESS OF AUSTRALIA’S HIGHER EDUCATION SECTOR

During 2019-20, TEQSA:

• undertook a review of the risk assessment framework to ensure its relevance in assessing the risks to student interests, and the reputation and competitiveness of the sector
• developed a revised approach to risk assessment to enable monitoring of the financial impact of the pandemic on providers
• published guidance and other materials to support providers to comply with HES Framework requirements, particularly in the rapid transition to online learning due to the restrictions of the pandemic.

TEQSA's engagement with the sector was extensive during 2019-20, starting with the review of the risk assessment framework and later in response to the move to online learning. Access to materials and participation in events before and after the outbreak of the COVID-19 pandemic remained high, indicating the appropriateness of the engagement with providers and the support made available to the sector. The decision not to proceed with the annual stakeholder survey during the pandemic meant that for some targets there was a lack of robust evidence to assess the agency’s performance. Despite the disruption caused by the pandemic, the overall performance against Objective 2 was assessed as achieved.

Action 2.1: Consult stakeholders and identify issues and delivery strategies where guidance is required

Risk Assessment Framework Consultation

TEQSA released its Risk Assessment Framework Consultation Paper in July 2019 to consult with the higher education sector on TEQSA's approach to risk assessment. TEQSA encouraged stakeholders to respond to seven questions, and to present other relevant views for TEQSA to consider in its planning. TEQSA received written submissions during the consultation period.

TEQSA also hosted a series of consultation workshops across Melbourne, Perth, Brisbane, Adelaide and Sydney between July and September 2019. Representatives from over 80 per cent of Australian higher education providers participated. At least one TEQSA Commissioner attended each workshop to hear from and engage with participants. This process provided a platform for participants to deepen their understanding of TEQSA’s current risk assessment approach, and allowed for open and frank discussions between providers and TEQSA on the ways TEQSA could further enhance its monitoring and assessment of risk.

Broadly, stakeholders were supportive of the overall structure of the Risk Assessment Framework and the key risk areas it identified. Feedback included: the issue of data lag; proposed potential new risk indicators; the risks faced by the sector; suggested revised methodologies for existing risk indicators; and the benefit of more contextual factors that impact providers' risk profiles on indicators such as attrition, graduate destinations and student-staff ratio.

The feedback received will be incorporated into changes to the Risk Assessment Framework over the coming years. The disruption caused by the COVID-19 pandemic has required a revised approach to risk assessment in the short term. There will be continued assessment of risk to students, and risk to providers' financial position, with a major focus this year on financial viability.

​Action 2.2: Publish information about regulatory and quality assurance matters

Publication of information

In 2019-20, TEQSA updated five of its guidance notes and released a new guidance note: Guidance Note: Monitoring and Analysis of Student Performance. TEQSA also published two good practice notes: Making higher education admissions transparent for prospective students (July 2019) and Improving retention and completion of students in Australian higher education (February 2020).

In response to the need for providers to transition to online delivery of courses at the start of the COVID-19 pandemic and in recognition that several providers had limited experience with this mode of delivery, TEQSA assembled online learning good practice resources and made these available on the TEQSA website. These resources were reviewed regularly, in consultation with the sector, to address identified needs of providers. From its launch in April 2020 to June 2020, the website was visited more than 17 300 times and there have been more than 12 000 unique page views of these resources.

OBJECTIVE 3: PROVIDE ADVICE AND INFORMATION TO INFORM DECISIONS ABOUT THE APPROPRIATENESS AND QUALITY OF AUSTRALIAN HIGHER EDUCATION

During 2019-20, TEQSA provided advice and information to the sector and other stakeholders including:

• discussing key issues about quality and regulation with the TEQSA Student Expert Advisory Group
• publishing a report analysing the key risk findings of Australian higher education providers and the sixth edition of the Statistics report on TEQSA registered higher education providers 2019
• publishing information about regulatory decisions on the National Register of Higher Education Providers (National Register) within the legislative timeframe
• briefing the Higher Education Standards Panel (HESP) about important sector matters
• contributing to the review of the Australian Qualifications Framework (AQF), the review of provider categories and the implementation of recommendations regarding professional accreditation
• focusing the TEQSA Annual Conference on the theme of 'partnerships driving quality'
• hosting workshops to promote academic integrity
• delivering webinars about the transition to online learning.

Since commencing operations in 2012, TEQSA has developed considerable expertise about the sector. It has established an effective and diverse approach to providing evidence-based advice and information about the sector to stakeholders. The increasing popularity of the TEQSA conference, workshops, webinars and forums reflects the relevance of the topics to the sector. The overall performance against Objective 3 was assessed as achieved.

Action 3.1: Enhance engagement with students

Student engagement

TEQSA continues to foster collaborative relationships with its Student Expert Advisory Group. In November 2019 and May 2020, meetings were held with the group, including leaders from the major student representative bodies:

• Australian Queer Students’ Network (AQSN)
• Council of Australian Postgraduate Associations (CAPA)
• Council of International Students Australia (CISA)
• Independent Higher Education Australia (IHEA) nominee
• Independent Tertiary Education Council Australia (ITECA) nominee
• National Aboriginal and Torres Strait Islander Postgraduate Association (NATSIPA)
• National Union of Students (NUS)
• TAFE Directors Australia (TDA) nominee
• Union of Aboriginal and Torres Strait Islander Students (UATSIS).

TEQSA also held an Academic Integrity for Students workshop in November 2019. The workshop was designed to enable students to discuss the serious implications of contract cheating with senior leaders, academic staff, and fellow students and to contribute to the creation of effective solutions to the problem of contract cheating at their home institutions. Forty-five students from a diverse range of providers participated in the workshop.

In response to the impact of the pandemic on students, TEQSA collaborated with the Student Expert Advisory Group to update the TEQSA student webpage to ensure it remained relevant for students transitioning to online learning. The resources ranged from: support during the COVID-19 pandemic; useful links for support services offered to students; TEQSA’s complaints procedures; to information on the newly developed short course certificates.

Action 3.2: Provide information about the sector to inform policy development, good practice and student choice

Information about the sector

PUBLICATION OF INFORMATION

TEQSA published its Statistics report on TEQSA registered higher education providers 2019 in October 2019 at: www.teqsa.gov.au/latest-news/publications/statistics-report-teqsa-registered-higher-education-providers-2019.

TEQSA published its Key risk findings on Australia’s higher education sector in July 2019 at: www.teqsa.gov.au/latest-news/publications/key-risk-findings-australias-higher-education-sector.

NATIONAL REGISTER

Under section 198 of the TEQSA Act, TEQSA is required to establish and maintain a national register. The National Register of Higher Education Providers (National Register) makes available useful information about all registered providers and regulatory action taken by TEQSA, including all regulatory decisions and reasons for those decisions, at https://www.teqsa.gov.au/national-register.

As of 30 June 2020, 178 providers were registered with TEQSA (see Table 15) and 1 811 TEQSA-accredited courses were listed. In 2019-20, seven new providers were added to the National Register, including one provider registered as a result of a decision made by the Administrative Appeals Tribunal. The National Register received over 70 000 page views in 2019-20, making it the most accessed section of the TEQSA website.

Engagement with the Higher Education Standards Panel

TEQSA worked closely with relevant Commonwealth, State and Territory agencies and in particular: the Department of Education, Skills and Employment; the Higher Education Standards Panel (HESP); the Australian Skills Quality Authority (ASQA); and the Department of Home Affairs. This collaboration included the regular exchange of information related to the risks to students and the reputation of the higher education sector.

Under section 168 of the TEQSA Act, the responsibilities of the HESP include monitoring the operation of, and making recommendations for amendments to, the HES Framework. More recently, the HESP has been given the role of advising and making recommendations to TEQSA about: approaches to deregulation; strategic objectives; corporate planning and performance against the plan; streamlining of activities; and resourcing requirements. TEQSA attended meetings of the HESP to discuss sector matters, including operation of the HES Framework. During 2019-20, TEQSA Commissioners, the CEO and senior staff attended each meeting of the HESP to progress important sector matters including:

• actions to support the sector during the COVID-19 pandemic
• outcomes of the Australian National Audit Office performance audit
• actions to address risks of contract cheating
• monitoring of compliance with English language admissions standards
• review of the Risk Assessment Framework
• assessment of the adoption of admissions transparency recommendations by providers
• engagement with students to monitor the student experience.

TEQSA Annual Conference and forums

In 2019-20, TEQSA undertook a variety of sector engagement forums and events including:

• the annual TEQSA Conference, held in Melbourne from 27-29 November 2019, which attracted over 930 delegates from 163 institutions and 11 international organisations
• regular meetings with peak bodies to discuss policy issues and the impact of COVID-19 on their members
• two expert briefing workshops held in July 2019 and an experts annual forum held prior to the TEQSA Conference in November 2019
• five Risk Assessment Framework Consultation Workshops held between July and September 2019
• twenty Academic Integrity Workshops held across Australia (including regional areas) and in New Zealand between October 2019 and January 2020, with the aim to assist providers to promote a culture of academic integrity within their higher education institutions
• a six-part webinar series Going online: R(e)imagining teaching and learning, produced in collaboration with RMIT, was delivered to support providers during the COVID-19 pandemic. Along with recordings of the webinars, responses to the questions raised were recorded and made available on the TEQSA website. In total, the six webinars had over a thousand participants.

Information about the TEQSA Conference 2019 is available at: www.teqsa.gov.au/teqsa-conference-2019-0.

OBJECTIVE 4: TAKING PROMPT AND EFFECTIVE ACTION TO ADDRESS SUBSTANTIAL RISKS TO STUDENTS OR THE REPUTATION OF THE SECTOR​

In 2019-20, TEQSA undertook significant work on ensuring provider compliance with the HES Framework and addressing sector-wide risks including:

• improving the management of compliance assessments and the reporting framework
• participating in the review of regulatory decisions in the Administrative Appeals Tribunal (AAT)
• reviewing implementation of recommendations for the transparency of admissions
• assessing compliance with English language proficiency admission requirements
• publishing good practice notes on areas that pose a risk to students and to the reputation of the sector, such as admissions transparency and student retention.

The work TEQSA undertakes in addition to application-based assessments has increased as the agency's knowledge about risks to students and the sector has grown. TEQSA's tailored approach to different quality issues has ensured proportionate action has been taken to address risks. The decision not to proceed with the annual stakeholder survey during the pandemic meant that for one target there was a lack of robust evidence to assess that agency’s performance. Despite the disruption caused by the pandemic, performance against Objective 4 was assessed as achieved.

Action 4.1: Undertake compliance assessments and take regulatory action to address serious non-compliance

Compliance with the HES Framework

COMPLIANCE WITH CONDITIONS

TEQSA’s response to a provider's risk of non‑compliance with the HES Framework is proportionate to the risk TEQSA seeks to address. If a provider is at a substantial risk of non‑compliance but appears willing and able to address the concerns, TEQSA's response may involve the imposition of conditions and/or a reduced period of registration or accreditation. This assists TEQSA to monitor the provider’s progress in addressing any deficiencies and ensures the provider implements the necessary remedy to remain compliant with the HES Framework.

In 2019-20, TEQSA conducted 183 assessments to determine compliance with conditions. TEQSA revoked 58 conditions and varied eight conditions.

As at 30 June 2020, 60 providers (34 per cent of registered providers) were subject to a total of 187 active conditions. Of these conditions, nearly half require periodic reporting to TEQSA as assurance that the providers are actively monitoring the implementation and outcomes of their rectification measures. These conditions consisted of:

• 135 conditions imposed on TEQSA registrations
• 52 conditions imposed on course accreditations.

In 2019-20, TEQSA addressed non-compliance with the HES Framework by:

• imposing 24 conditions across 14 providers
• re-registering five providers for shorter periods than the maximum seven years
• registering and re-registering 14 providers for shorter periods on CRICOS (excluding those recently granted initial TEQSA registration)
• accrediting and re-accrediting 15 courses across five providers for shorter periods (excluding newly registered providers and short courses).

The most common conditions related to compliance with:

• Domain 5 - Institutional Quality Assurance, in particular Section 5.3 Monitoring, Review and Improvement
• Domain 3 - Teaching, in particular Sections 3.1 Course Design and 3.2 Staffing
• Domain 6 - Governance and Accountability, in particular Sections 6.1 Corporate Governance and 6.2 Corporate Monitoring and Accountability.

COMPLIANCE ASSESSMENTS AND INVESTIGATIONS

Compliance assessments are initiated through the concerns TEQSA receives from students and the public, and in response to issues identified through the media, information from other government agencies or through information TEQSA holds, such as data from the annual risk assessment process.

Prior to commencing a compliance assessment, TEQSA analyses the risk, which involves a review of the information TEQSA has available, including the provider’s risk profile and regulatory history. This helps TEQSA to understand the significance, likelihood and consequence of the issues raised, to enable a decision on the most appropriate course of action to take.

In 2019-20, 103 compliance assessments were initiated and 70 compliance assessments were finalised.

External review matters

In 2019-20, TEQSA was a party in 10 external review matters in the Administrative Appeals Tribunal (AAT) relating to regulatory decisions.

In addition to four matters carried over from 2018-19, six new matters commenced in the AAT in 2019-20. One matter was resolved by agreement, one matter was dismissed following withdrawal by the applicant, and the AAT affirmed TEQSA’s decision in Barque Institute Australia and Tertiary Education Quality and Standards Agency [2020] AATA 70. Seven matters were carried into 2020-21.

The areas of the HES Framework considered in the matters under review included corporate governance, staffing (including teaching staff, academic leadership and support staff), course content and delivery, academic integrity, and financial viability.

In addition to the external review matters in the AAT, Barque Institute Australia appealed the AAT’s decision to affirm TEQSA’s decision to reject its applications. That appeal is currently before the Federal Court of Australia.

Action 4.2: Identify and respond to sector-wide risks to students and the reputation of the sector

Addressing sector-wide risks and TEQSA's approach to sector assessments

TEQSA has proactively engaged with the sector relating to a number of sector-wide risks by providing tailored advice, workshops and toolkits and through the development and publication of good practice notes.

TEQSA published good practice notes relating to admissions transparency and to student retention. TEQSA also worked with providers to promote good practice by including a specific assessment of provider measures to prevent and address sexual assault and sexual harassment as a part of the provider re-registration process during 2019-20.

During late 2019, TEQSA ran a series of national workshops to assist providers to prevent, detect and respond to contract cheating. TEQSA subsequently released a toolkit using the information gathered from these workshops. The Academic integrity toolkit (beta version) is available at: www.teqsa.gov.au/toolkit.