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(1) This Procedure outlines the responsibility for and processes involved in Victoria University’s (VU) regulatory obligations relating to: (2) These requirements are set by the following regulators: (3) Tertiary Education Quality and Standards Agency Act 2011 (Cth) – Sections 7A, 25A, 29, 59 and 60 (4) Higher Education Standards Framework (Threshold Standards) 2021 (HESF) – Standard 6.1.2.a. (5) National Vocational Education and Training Regulator Act 2011 (Cth) – Sections 23, 25, 35, 186 (6) Standards for Registered Training Organisations (RTOs) 2015 – Standard 7.1(b) and Schedule 3 (7) Education Services for Overseas Students Act 2000 (Cth) – Sections 7A and 11 (8) National Vocational Education and Training Regulator (Data Provision Requirements) Instrument 2020 (9) This Procedure is applicable across the University's course delivery operations including when dealing with partnerships in Australia and offshore. (10) Accountable Executive – A member of the senior executive appointed as the Principal Executive Officer (PEO) or principal contact for regulatory purposes by the Vice-Chancellor. (11) Fit and Proper Person Declaration – A self-declaration for individuals that includes questions designed to assess that persons who exercise a degree of control or influence over the management of education and training services are people with whom the public is likely to have confidence in their suitability to manage or be involved with an organisation that provides or assesses national qualifications. (12) Material change – An event that has happened or is likely to happen that will significantly affect VU’s ability to meet TEQSA or ASQA requirements. It includes notifications under section 17A of the Education Services for Overseas Students Act 2000 (Cth). (13) Compliance Management Policy (14) Material Change Notifications (MCNs) must be reported to: (16) VCG members are responsible for ensuring that any Reportable Occurrence arising from their portfolio that requires a MCN is identiļ¬ed and notified to the relevant Accountable Executive. (17) MCNs submitted to TEQSA, ASQA, other (18) A Staff member who identifies or suspects that a Reportable Occurrence has or may occur must immediately report the occurrence to the Director, Risk and Compliance and/or the relevant Accountable Executive. (19) If the Director, Risk and Compliance and Accountable Executive determine that a MCN is required in accordance with TEQSA or ASQA requirements, the relevant VCG member and/or designated subject matter expert will draft the MCN with advice from Risk and Compliance. (20) Reportable Occurrence(s) include: (21) Council and VCG members may seek advice from the Head of Legal Services regarding potentially declarable events. (22) Council members must notify any declarable events that occur between annual declarations to the Director, Governance and Secretariat. (23) VCG members must notify any declarable events that occur between annual declarations to the Director, Risk and Compliance. (24) The Chief TAFE Officer will ensure that processes are in place for the Annual Declaration on Compliance to be submitted to ASQA by 31 March each year and to maintain records of such declarations. (25) The Chief TAFE Officer will ensure that processes are in place to conduct an internal audit of compliance with the Dual Sector VET Funding Contract (the Contract) during each calendar year, in accordance with any requirements of the Department of Education and Training (DET). The first internal audit must be completed within six months after the commencement date of the Contract. (26) This internal audit will be conducted by the Victoria University Polytechnic, Quality, Risk and Compliance team. (27) Each internal audit must be : (28) If an internal audit reveals non-compliance with the Contract, the Chief TAFE Officer must: (29) The Executive Director, Business Intelligence will ensure that processes are in place to conduct a Learner Questionnaire (LQ) twice a year and Employer Questionnaire (EQ) once a year to meet the requirements of the National Vocational Education and Training Regulator (Data Provision Requirements) Instrument 2020. (30) The Chief TAFE Officer will organise the data from the LQ and EQ to be summarised and submitted to ASQA by 30 June each year for the previous calendar year. (31) The Vice-Chancellor will nominate and approve Accountable Executives (i.e. principal executive officers (PEOs) or principal contacts) for TEQSA and ASQA including for CRICOS. (32) Appointments and changes will be notified in accordance with the regulator requirements. (33) A declaration by the Accountable Executive must be made to the relevant regulatory body at the time of appointment as PEO or principal contact and subsequently when submitting applications. (34) The Senior Deputy Vice-Chancellor and Chief Academic Officer will ensure that processes are in place to collate information and prepare responses to RFIs and compliance assessments from TEQSA. (35) The Chief TAFE Officer will ensure that processes are in place to collate information and prepare responses to audits, RFIs and compliance assessments by ASQA, DET, other VET regulators and VRQA. (36) Responses to regulators must be approved by the Senior Deputy Vice-Chancellor and Chief Academic Officer or Chief TAFE Officer prior to submission. (37) Risk and Compliance and Quality, Risk and Compliance (VET) will provide support with regard to submission of MCNs and responses to regulator RFIs, compliance assessments and audits and maintain records. (38) Accountable Executives will ensure that Governance Committees are informed of MCNs, RFIs, compliance assessments, audits and any outcomes.Compliance - Regulatory Reporting Procedure
Section 1 - Summary
Top of PageSection 2 - HESF/ASQA/ESOS Alignment
Section 3 - Scope
Section 4 - Definitions
Section 5 - Policy/Regulation
Section 6 - Procedures
Part A - Roles and Responsibilities
Roles
Responsibilities
Council members
Upon initial appointment and annually complete:
• A Declaration of Private Interests; and
• A TEQSA Fit and Proper Person Declaration.
Vice-Chancellor’s Group (VCG)
• A Declaration of Private Interests; and
• A TEQSA and/or ASQA Fit and Proper Person Declaration.
Identify Reportable Occurrence(s) that require Material Change Notifications (MCNs) and notify the relevant Accountable Executive.
Support Accountable Executive(s) in the preparation of MCNs and regulator requests for information (RFIs) and compliance assessments.
Vice-Chancellor (VC)
Nominate and approve Accountable Executive(s) (i.e. principal executive officers (PEOs) or principal contacts) for TEQSA and ASQA including for CRICOS.
Senior Deputy Vice-Chancellor and Chief Academic Officer
Act as Accountable Executive for TEQSA including for CRICOS.
Review and approve submission of MCNs to TEQSA.
Coordinate and approve responses to TEQSA RFIs and compliance assessments.
Notify relevant Governance committees of MCNs, RFIs and compliance assessments.
Chief TAFE Officer
Review and approve submission of MCNs to ASQA, other VET regulators and VRQA.
Coordinate and approve responses to audits, RFIs, and compliance assessments by ASQA, DET, other VET regulators and VRQA.
Notify relevant Governance committees of MCNs, audits, RFIs and compliance assessments.
Provide an Annual Declaration on Compliance to ASQA.
Submit the Quality Indicator (QI) Summary to ASQA by 30 June each calendar year for the previous year.
Director, Risk and Compliance
Coordinate the completion and maintain records of the annual TEQSA and/or ASQA Fit and Proper Person Declarations for VCG and other senior executives.
Maintain records of the Vice-Chancellor appointed Accountable Executives and MCNs to TEQSA.
General Manager, Quality, Risk and Compliance (VET)
Coordinate the following activities and maintain records:
• Annual Declaration on Compliance to ASQA;
• Internal audit of the Dual Sector VET Funding Contract;
• Quality Indicator Summary; and
• MCNs, responses to audits, RFIs and compliance assessments by ASQA, DET, other VET regulators and VRQA in line with regulatory requirements.
Director, Governance and Secretariat
Coordinate the completion and maintain records of Declaration of Private Interests and TEQSA Fit and Proper Person Declarations for Council members upon initial appointment and annually.
Chief Human Resources Officer
Ensure that upon initial appointment senior executive staff complete a Declaration of Private Interests and a TEQSA and/or ASQA Fit and Proper Person Declaration.
Manager, Corporate Finance Services
Coordinate the completion and maintain records of annual Declaration of Private Interests for VCG and other senior executives.
Executive Director, Business Intelligence
Conduct Learner Questionnaire (LQ) twice a year and Employer Questionnaire (EQ) once a year and provide the data to the Chief TAFE Officer to summarise and submit to ASQA.
All Staff
Notify any identified or suspected Reportable Occurrence that has or may occur to the Director, Risk and Compliance and/or the relevant Accountable Executive immediately.
Part B - Material Change Notifications
Part C - Reportable Occurrence
Part D - Declaration of Interest and Fit and Proper Person Checks
Declaration
Timing and Coordination
Council Members
Initial Appointment – Governance and Secretariat
Annually – Governance and Secretariat
VCG Members and other senior executives
Initial Appointment – People and Culture (TEQSA and ASQA Fit and Proper Person Declaration)
Annually – Risk and Compliance(TEQSA and ASQA Fit and Proper Person Declarations)
Annually - Finance (Declaration of Private Interests)Part E - Annual Declaration on Compliance
Part F - Internal Audit against the Dual Sector VET Funding Contract
Part G - Quality Indicators
Part H - Appointment of Accountable Executives
Part I - Regulator Requests for Information and Assessments