• Section 1 - Purpose
• Section 2 - Scope
• Section 3 - Section 3 – Compliance and Quality Improvement Assessment
• Section 4 -  Conduct of Internal Audits
• Section 5 -  Monitoring and Reporting
• Reporting non-compliance
• Section 6 - Roles and Responsibilities
• Section 7 - Definitions

Section 1 - Purpose

(1) This Procedure supports the implementation of the Quality Assurance and Enhancement Policy by specifying the University’s processes for assessing, monitoring, and reporting on:

1. compliance with external standards regulated by the Tertiary Education Quality and Standards Agency (TEQSA); and
2. continuous improvement of the quality of the University’s learning and teaching, research and research training, and support for students, as they relate to external standards.

Section 2 - Scope

(2) This Procedure applies to:

1. all staff of the University, including those employed through a controlled entity; and
2. governance and operational committees of the University.

(3) This Procedure encompasses all areas of University activity and enterprise and is relevant to all students, staff, partners and other stakeholders of the University in relation to the following standards regulated by TEQSA:

1. the Higher Education Standards Framework (Threshold Standards) 2021 (HESF); and
2. the Education Services for Overseas Students Act 2000; and
3. the National Code of Practice for Providers of Education and Training to Overseas Students 2018.

(4) This Procedure should be read in conjunction with the Quality Assurance and Enhancement Policy and the ESOS National Code Audit Procedure.

Section 3 - Section 3 – Compliance and Quality Improvement Assessment

(5) The Academic Governance and Standards will:

1. conduct periodic compliance assessments against the external standards; and
2. consult with relevant stakeholders to:
   1. identify opportunities for improvement with compliance and quality, as per clause (1)b; and
   2. specify actions to rectify breaches, mitigate risks, and otherwise improve quality and standards.

(6) The Compliance Assessment will review and evaluate relevant evidence that includes, as applicable:

1. plans, frameworks, policies, and processes;
2. student and staff feedback;
3. performance and verification data;
4. good practice identified through external referencing; and
5. guidelines and risk assessments by relevant external agencies, including the Tertiary Education Quality and Standards Agency (TEQSA).

(7) Compliance Assessments will, where relevant, be informed by:

1. information, discussion and feedback from staff, students and University committees;
2. internal audit findings and recommendations;
3. external audit findings and recommendations; and
4. external review findings and recommendations.

Section 4 -  Conduct of Internal Audits

(8) In addition to undertaking periodic assessments, where the need arises, the Academic Governance and Standards will undertake internal audits to ensure a more thorough assessment of compliance with UOW academic policy requirements and/or externally mandated standards.

(9) Internal audits will be conducted to ensure the integrity and independence of the audit process. Auditors will undertake investigations in a proportionate, clearly defined and transparent way, respect confidentiality and make evidence-based assessments of compliance and identify areas of good practice and areas for improvement.

(10) During the audit, the auditors may request to cite a range of evidentiary materials and conduct interviews with University staff and students to elicit relevant information. All available information or evidence should be included to assist and support the audit outcome.

(11) A draft written report on the audit findings will be provided to audit participants to ensure factual accuracy.

(12) The final audit report will be provided to participants and to the relevant management and governance committees to guide decision making and implementation of any improvement actions.

Section 5 -  Monitoring and Reporting

(13) In addition to the assessment in clauses 5-7, the Academic Governance and Standards will periodically monitor and report on identified recommendations and actions that secure the University’s compliance with, and improvement against external standards.

(14) The Academic Governance and Standards will maintain a register of agreed actions, as per clause (5)b, and monitor progress in implementing those actions in consultation with responsible divisions and other staff as appropriate.

(15) The compliance and quality improvement reports will provide a risk-based assessment of the University’s compliance with external standards and:

1. summarise the University’s activity within the reporting period, as it relates to compliance assessment and monitoring, including internal and external audits and reviews;
2. identify breaches and risks of non-compliance, and other opportunities for quality improvement; and
3. provide updates on progress against actions and recommendations for quality improvement.

(16) The frequency of monitoring and reporting against external standards and any associated action items will be determined by the Academic Governance and Standards based on a compliance risk assessment, however, the following shall also apply:

1. compliance with all HESF standards will be monitored and reported on at least once every two (2) years; and
2. compliance with all ESOS National Code standards will be monitored and reported on at least once annually.

(17) Compliance and quality improvement reports will be reported to:

1. the Deputy Vice-Chancellor (Education);
2. the University Council via the Risk, Audit and Compliance Committee;
3. the Academic Senate; and
4. other committees as determined by the Deputy Vice-Chancellor (Education).

Reporting non-compliance

(18) Where a material breach or potential breach of the external standards has been identified, the Academic Governance and Standards will:

1. ensure that this is communicated to the appropriate Divisional lead and the Deputy Vice-Chancellor (Education); 
2. report the material breach or potential breach to the Risk, Audit and Compliance Committee;
3. notify TEQSA of material changes that may significantly affect the University’s ability to comply with the HESF or that require changes to the National Register, in accordance with the Tertiary Education Quality and Standards Agency Act 2011 and TEQSA’s Material Change Notification Policy; and
4. make compliance notifications in accordance with the Education Services for Overseas Students Act 2000.

Section 6 - Roles and Responsibilities

(19) Roles and Responsibilities are as set out in this Procedure.

Section 7 - Definitions

(20) Definitions are consistent with the Quality Assurance and Enhancement Policy.