APPLICATION GUIDE AND APPLICATION FOR REGISTRATION AS AN AUSTRALIAN UNIVERSITY COLLEGE EFFECTIVE FROM 1 JANUARY 2013

APPLICATION GUIDE APPLICATION FOR A REGISTERED HIGHER EDUCATION PROVIDER TO CHANGE PROVIDER CATEGORY TO: AUSTRALIAN UNIVERSITY COLLEGE, OR AUSTRALIAN UNIVERSITY, OR AUSTRALIAN UNIVERSITY OF SPECIALISATION AND APPLICATION FOR REGISTRATION AS AN AUSTRALIAN UNIVERSITY COLLEGE EFFECTIVE FROM 1 JANUARY 2013 i

THIS GUIDE MUST BE READ IN CONJUNCTION WITH ONE OF THE FOLLOWING APPLICATION FORMS, AVAILABLE AT: http://www.teqsa.gov.au/ registration-and-re-registration APPLICATION FORM APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY COLLEGE OR REGISTRATION AS AN AUSTRALIAN UNIVERSITY COLLEGE APPLICATION FORM APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY APPLICATION FORM APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY OF SPECIALISATION This document will be reviewed by TEQSA from time to time. Document details Version 1.0 Effective from 1 January 2013 Version 1.1 Effective from 1 January 2013 Version 1.2 Effective from 9 October 2013 ii

CONTENTS A. INTRODUCTION 7 About this Guide...7 Eligibility to apply...7 TEQSA s approach...8 Submitting concurrent applications...10 Intention to submit an application...10 Initial registration...10 B. THE APPLICATION PROCESS 11 Completing the Application Form...11 Attachment Checklist...11 url references...12 Attaching evidence...12 Queries and process clarification...12 Submitting the application...12 Fees...13 Following application submission...13 Summary of process applying for change of Provider Category...15 Summary of process applying for initial registration as an Australian University College...18 TEQSA s decisions...21 Complaints...21 Privacy note...21 Confidentiality of information...21 False and misleading information...21 PART 1 APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY COLLEGE OR REGISTRATION AS AN AUSTRALIAN UNIVERSITY COLLEGE 22 Introduction...22 Self-accrediting Authority...22 Structure of the Application Form... 23 Section A Applicant details and rationale for applying...24 A1.1 Name of legal entity applying...24 A1.2 Legal entity...24 A1.3 Registered business (trading) name or names...26 A1.4 Other concurrent applications...26 A1.5 Contact Officer...26 A1.6 Existing self-accrediting authority...26 A1.7 Rationale for seeking registration in the category of Australian University College...27 1

Section B Summary of how the applicant meets the Australian University College Provider Category Standards...28 SUBSECTION B1: PLANS TO MEET CRITERIA FOR AN AUSTRALIAN UNIVERSITY CATEGORY...28 B1.1 Summary statement...28 B1.2 Required evidence (to be attached to the application)...28 B1.3 List of other evidence identified by the applicant...29 B1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...29 SUBSECTION B2: SELF-ACCREDITING COURSES OF STUDY THAT MEET THE QUALIFICATION STANDARDS...30 B2.1 Summary statement...30 B2.2 Required evidence (to be attached to the application)...30 B2.3 List of other evidence identified by the applicant...32 B.2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...33 SUBSECTION B3: RESEARCH...34 B3.1 Summary statement...34 B3.2 Required evidence (to be attached to the application)...34 B3.3 List of other evidence identified by the applicant...35 B3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...35 SUBSECTION B4: SYSTEMATIC ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE...36 B4.1 Summary statement...36 B4.2 Required evidence (to be attached to the application)...36 B4.3 List of other evidence identified by the applicant...36 B4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...36 SUBSECTION B5: SCHOLARSHIP...37 B5.1 Summary statement...37 B5.2 Required evidence (to be attached to the application)...37 B5.3 List of other evidence identified by the applicant...37 B5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...38 SUBSECTION B6: GOOD PRACTICES IN TEACHING AND LEARNING...39 B6.1 Summary Statement...39 B6.2 Required evidence (to be attached to the application)...39 B6.3 List of other evidence identified by the provider...39 B6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...39 SUBSECTION B7: STUDENT SERVICES AND SUPPORT...40 B7.1 Summary Statement...40 B7.2 Required evidence (to be attached to the application)...40 B7.3 List of other evidence identified by the applicant...40 B7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...41 SUBSECTION B8: COMMUNITY ENGAGEMENT AND COMMITMENT TO SOCIAL RESPONSIBILITY...42 B8.1 Summary statement...42 B8.2 Required evidence (to be attached to the application)...42 B8.3 List of other evidence identified by the applicant...42 B8.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...43 SUBSECTION B9: QUALITY ASSURANCE, ACADEMIC STANDARDS AND ACADEMIC INTEGRITY...44 B9.1 Summary statement...44 B9.2 Required evidence (to be attached to the application)...44 B.9.3 List of other evidence identified by the provider...44 B9.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...44 2

SUBSECTION B10: SUPPORT OF GOVERNMENT...45 B10.1 Summary statement...45 B10.2 Required evidence (to be attached to the application)...45 Section C Summary of how the applicant meets the Provider Registration Standards...46 SUBSECTION C1: PROVIDER STANDING...46 C1.1 Summary statement...46 C1.2 Required evidence (to be attached to the application)...46 C1.3 List of other evidence identified by the provider...47 C1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...48 SUBSECTION C2: FINANCIAL VIABILITY AND SUSTAINABILITY...49 C2.1 Summary statement...49 C2.2 Required evidence (to be attached to the application)...49 C2.3 List of other evidence identified by the provider...50 C2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...51 SUBSECTION C3: CORPORATE AND ACADEMIC GOVERNANCE...52 C3.1 Summary statement...52 C3.2 Required evidence (to be attached to the application)...52 C3.3 List of other evidence identified by the provider...52 C3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...53 SUBSECTION C4: PRIMACY OF ACADEMIC QUALITY AND INTEGRITY...54 C4.1 Summary statement...54 C4.2 Required evidence (to be attached to the application)...54 C4.3 List of other evidence identified by the applicant...55 C4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...55 SUBSECTION C5: MANAGEMENT AND HUMAN RESOURCES...56 C5.1 Summary statement...56 C5.2 Required evidence (to be attached to the application)...56 C5.3 List of other evidence identified by the applicant...56 C5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...57 SUBSECTION C6: RESPONSIBILITIES TO STUDENTS...58 C6.1 Summary statement...58 C6.2 Required evidence (to be attached to the application)...58 C6.3 List of other evidence identified by the applicant...58 C6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...58 SUBSECTION C7: PHYSICAL AND ELECTRONIC RESOURCES AND INFRASTRUCTURE...59 C7.1 Summary statement...59 C7.2 Required evidence (to be attached to the application)...59 C7.3 List of other evidence identified by the applicant...60 C7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...60 3

PART 2: APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY 61 Introduction...61 Structure of the Application Form... 61 Section A Provider details and rationale for applying...63 A1.1 Name of legal entity applying...63 A1.2 TEQSA Identification Number...63 A1.3 Registered business (trading) name or names...63 A1.4 Other concurrent applications...63 A1.5 Contact Officer...63 A1.6 Rationale for seeking registration in the category of Australian University...63 Section B Summary of how the provider meets the Australian University Provider Category Standards...64 SUBSECTION B1: SELF-ACCREDITING STATUS AND COURSES OF STUDY THAT MEET THE QUALIFICATION STANDARDS...64 B1.1 Summary statement...64 B1.2 Required evidence (to be attached to the application)...64 B1.3 List of other evidence identified by the provider...65 B1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...65 SUBSECTION B2: RESEARCH...66 B2.1 Summary statement...66 B2.2 Required evidence (to be attached to the application)...66 B2.3 List of other evidence identified by the provider...66 B2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...67 SUBSECTION B3: SYSTEMATIC ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE...68 B3.1 Summary statement...68 B3.2 Required evidence (to be attached to the application)...68 B3.3 List of other evidence identified by the provider...68 B3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...68 SUBSECTION B4: SCHOLARSHIP...69 B4.1 Summary statement...69 B4.2 Required evidence (to be attached to the application)...69 B4.3 List of other evidence identified by the provider...69 B4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...70 SUBSECTION B5: GOOD PRACTICES IN TEACHING AND LEARNING...71 B5.1 Summary Statement...71 B5.2 Required evidence (to be attached to the application)...71 B5.3 List of other evidence identified by the provider...71 B5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...71 SUBSECTION B6: STUDENT SERVICES AND SUPPORT...72 B6.1 Summary Statement...72 B6.2 Required evidence (to be attached to the application)...72 B6.3 List of other evidence identified by the provider...72 B6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...73 4

SUBSECTION B7: COMMUNITY ENGAGEMENT AND COMMITMENT TO SOCIAL RESPONSIBILITY...74 B7.1 Summary statement...74 B7.2 Required evidence (to be attached to the application)...74 B7.3 List of other evidence identified by the provider...74 B7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...74 SUBSECTION B8: QUALITY ASSURANCE, ACADEMIC STANDARDS AND ACADEMIC INTEGRITY...75 B8.1 Summary statement...75 B8.2 Required evidence (to be attached to the application)...75 B8.3 List of other evidence identified by the provider...75 B8.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...75 SUBSECTION B9: SUPPORT OF GOVERNMENT...76 B9.1 Summary statement...76 B9.2 Required evidence (to be attached to the application)...76 PART 3: APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY OF SPECIALISATION 77 Introduction...77 Structure of the Application Form... 77 Section A Provider details and rationale for applying...79 A1.1 Name of legal entity applying...79 A1.2 TEQSA Identification Number...79 A1.3 Registered business (trading) name or names...79 A1.4 Other concurrent applications...79 A1.5 Contact Officer...79 A1.6 Rationale for seeking registration in the category of Australian University of Specialisation...79 Section B Summary of how the provider meets the Australian University of Specialisation Provider Category Standards...80 SUBSECTION B1: SELF-ACCREDITING STATUS AND COURSES OF STUDY THAT MEET THE QUALIFICATION STANDARDS...80 B1.1 Summary statement...80 B1.2 Required evidence (to be attached to the application)...80 B1.3 List of other evidence identified by the provider...81 B1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...81 SUBSECTION B2: RESEARCH...82 B2.1 Summary statement...82 B2.2 Required evidence (to be attached to the application)...82 B2.3 List of other evidence identified by the provider...82 B2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...83 SUBSECTION B3: SYSTEMATIC ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE...84 B3.1 Summary statement...84 B3.2 Required evidence (to be attached to the application)...84 B3.3 List of other evidence identified by the provider...84 B3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...84 5

SUBSECTION B4: SCHOLARSHIP...85 B4.1 Summary statement...85 B4.2 Required evidence (to be attached to the application)...85 B4.3 List of other evidence identified by the provider...85 B4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...86 SUBSECTION B5: GOOD PRACTICES IN TEACHING AND LEARNING...87 B5.1 Summary Statement...87 B5.2 Required evidence (to be attached to the application)...87 B5.3 List of other evidence identified by the provider...87 B5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...87 SUBSECTION B6: STUDENT SERVICES AND SUPPORT...88 B6.1 Summary Statement...88 B6.2 Required evidence (to be attached to the application)...88 B6.3 List of other evidence identified by the provider...88 B6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...89 SUBSECTION B7: COMMUNITY ENGAGEMENT AND COMMITMENT TO SOCIAL RESPONSIBILITY...90 B7.1 Summary statement...90 B7.2 Required evidence (to be attached to the application)...90 B7.3 List of other evidence identified by the provider...90 B7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...90 SUBSECTION B8: QUALITY ASSURANCE, ACADEMIC STANDARDS AND ACADEMIC INTEGRITY...91 B8.1 Summary statement...91 B8.2 Required evidence (to be attached to the application)...91 B8.3 List of other evidence identified by the provider...91 B8.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time...91 SUBSECTION B9: GOVERNMENT SUPPORT...92 B9.1 Summary statement...92 B9.2 Required evidence (to be attached to the application)...92 CHECKLIST FOR SUBMISSION 93 ABBREVIATIONS AND ACRONYMS 94 GLOSSARY OF TERMS 95 6

A. INTRODUCTION About this Guide This Application Guide provides assistance to applicants applying to the Tertiary Education Quality and Standards Agency (TEQSA) for one of the following reasons: 1. to change the category in which the higher education provider is currently registered by TEQSA from higher education provider to Australian University College (refer to Part 1 of this Guide and to the Application Form Application for Change of Provider Category to Australian University College or Registration as an Australian University College ) 2. to change the category in which the higher education provider is currently registered by TEQSA from Australian University College to Australian University (refer to Part 2 of this Guide and to the Application Form Application for Change of Provider Category to Australian University ) 3. to change the category in which the higher education provider is currently registered by TEQSA from Australian University College to Australian University of Specialisation (refer to Part 3 of this Guide and to the Application Form Application for Change of Provider Category to Australian University of Specialisation ) 4. to change the category in which a higher education provider with self-accrediting authority is currently registered by TEQSA from Higher Education Provider to Australian University (refer to Part 2 of this Guide and to the Application Form Application for Change of Provider Category to Australian University ) 5. to change the category in which the higher education provider is currently registered by TEQSA from Higher Education Provider to Australian University of Specialisation (refer to Part 3 of this Guide and to the Application Form Application for Change of Provider Category to Australian University to Australian University ) 6. to seek registration by TEQSA for the first time as a higher education provider in the category of Australian University College (refer to Part 1 of this Guide and to the Application Form Application for Change of Provider Category to Australian University College or Registration as an Australian University College ). All provider categories are detailed in the Provider Category Standards, available at: http://www.comlaw. gov.au/details/f2012l00003/download. This Guide explains the information required in each section of the relevant Application Form. The relevant Application Form refers to one of the three application forms noted above. This Guide provides examples of the types of evidence that might be provided, in addition to the required evidence, to demonstrate that the applicant meets the relevant Threshold Standards, including the Provider Category Standards. TEQSA acknowledges that each applicant will use customised approaches, structures and processes to meet the standards, and therefore that the type of evidence available to demonstrate compliance will differ across applicants. A broad range of examples is provided to assist applicants to determine what might constitute appropriate kinds of evidence. The Guide also contains a Glossary of Terms relevant to the Threshold Standards and to the evidence TEQSA requires to be included as part of an application. Eligibility to apply Existing providers changing a Provider Category There is no requirement for a provider currently registered with TEQSA to change provider category. All providers registered with TEQSA become registered higher education providers in accordance with the Tertiary Education and Quality Standards Agency Act 2011 ( the TEQSA Act ). Some providers with the necessary breadth and depth of discipline area knowledge and expertise, and with robust and highly effective quality assurance processes, may apply to TEQSA for self-accrediting authority for one or more courses of study, across one or more disciplines in which they operate, while maintaining registration as a higher education provider. The Application Form Application for Self-accrediting Authority should be used for this purpose, and is available at: http://www.teqsa. gov.au/self-accrediting-authority. An existing higher education provider that has been authorised for at least the last five years to self-accredit at least 85 per cent of its total courses of study in one or two broad fields of study including Masters Degrees (Research) and Doctoral Degrees (Research) in these broad fields of study may apply to TEQSA to change its category of registration to Australian University of Specialisation. TEQSA assesses this requirement against the Broad Fields of Education as defined by the Australian Standard Classification of Education (ASCED). Part 3 of this Guide refers to the Application Form Application for Change of Provider Category to Australian University of Specialisation, which should be used for this purpose. 7

A provider that has been authorised for at least the last five years to self-accredit at least 85 per cent of its total course of study including Masters Degrees (Research) and Doctoral Degrees (Research) in at least three broad fields of study may apply to TEQSA to change its category of registration to Australian University. TEQSA assesses this requirement against the Broad Fields of Education as defined by the Australian Standard Classification of Education (ASCED). ASCED is a classification of courses, specialisations, and units of study with the same or similar vocational emphasis or principal subject matter in the course of study. Part 2 of this Guide refers to the Application Form Application for Change of Provider Category to Australian University, which should be used for this purpose. Providers with or without existing self-accrediting authority may apply to TEQSA to change their category of registration to Australian University College. The Australian University College Provider Category Standards require applicants to demonstrate realistic and achievable plans to meet, within a five year period, all the criteria for the Australian University category, or for the Australian University of Specialisation category. The Australian University College provider category is a pathway to achieving registration in the Australian University or Australian University of Specialisation category. Such providers will have a strong and successful history of higher education operations over a sustained period. If TEQSA approves registration in the Australian University College category, the provider will be authorised to self-accredit all of its courses of study. Part 1 of this Guide refers to the Application Form Application for Change of Provider Category to Australian University College, which should be used for this purpose. The Australian University College Provider Category Standard 3.1 requires that a provider that is registered in the category of Australian University College has realistic and achievable plans to meet, within five years of its approval to use the title Australian University College, all criteria for the Provider Category Standards of Australian University or Australian University of Specialisation. Such providers should apply to TEQSA within the timeframe specified by TEQSA using either: z the Application Form Application for Change of Provider Category to Australian University, or z the Application Form Application for Change of Provider Category to Australian University of Specialisation. TEQSA considers that there is nothing preventing a provider remaining in the Australian University College category beyond the five year period specified in Section 3.1 of the Provider Category Standards, subject to TEQSA s general power under section 38 of the TEQSA Act to change the category in which a provider is registered. TEQSA may change a provider s category under section 38 of the TEQSA Act, either unilaterally or on application by the provider. Initial registration in a particular provider category In accordance with section 25 of the TEQSA Act, all providers registered by TEQSA must offer at least one accredited course of study. Applicants registered with TEQSA for the first time in the Australian University College category will be required to provide to TEQSA a plan confirming when accredited courses of study (as required by Section 3.2 of the Provider Category Standards) will be offered and teaching commenced. Regulated entities that are not currently registered by TEQSA as a registered higher education provider may apply to TEQSA for registration in one of the following four categories: z registration in the category of higher education provider is sought by completing the Application Form Application for Registration as a Higher Education Provider. This Application Form, and the accompanying Application Guide, are available at: http://www.teqsa.gov.au/registration-and-reregistration#initialregistration. To be registered in this category, TEQSA requires that at least one accredited course of study be offered. A completed Application Form Application for Accreditation of a Higher Education Course of Study (AQF Qualification) must accompany the registration application. This Application Form, and the accompanying Application Guide, are available at: http://www.teqsa.gov.au/ course-accreditation#initialaccreditation z registration in the category of Australian University College is sought by completing the Application Form Application for Change of Provider Category to Australian University College or Registration as an Australian University College. Section 1 of this Guide must be referred to when completing this Application Form z registration in the category of Overseas University or Overseas University of Specialisation is sought by completing either the Application Form Application for Registration as an Overseas University, or the Application Form Application for Registration as an Overseas University of Specialisation. Both of these application forms, and the accompanying Application Guide, are available at: http://www. teqsa.gov.au/registration-and-re-registration. TEQSA s approach Existing providers changing a Provider Category Section 38 of the TEQSA Act provides that a registered higher education provider may apply to TEQSA to change the category in which the provider is registered. On its own initiative, TEQSA may also change the category in which a provider is registered. In accordance with subsection 38(2) of the TEQSA Act, TEQSA must have regard to the Threshold Standards 8

when determining whether to change the category in which an existing provider is registered. TEQSA will evaluate each application for change of provider category in accordance with relevant provisions of: z the Tertiary Education Quality and Standards Agency Act 2011 ( the TEQSA Act ), available at: http://www. comlaw.gov.au/details/c2011c00582, and z the Threshold Standards (as defined by the TEQSA Act), which include the Provider Registration Standards, the Provider Category Standards, the Provider Course Accreditation Standards, and the Qualification Standards, available at: http://www. comlaw.gov.au/details/f2012l00003/download. As noted below, TEQSA seeks to streamline regulatory processes as far as is practicable. Providers are encouraged to apply, where possible, for renewal of registration at the same time as applying for a change of provider category in order to ensure that TEQSA has current provider information against all Threshold Standards. Initial registration in the category of Australian University College Section 18 of the TEQSA Act provides that a regulated entity (that is: a constitutional corporation; or a corporation established by or under a law of the Commonwealth or territory; or a person who conducts activities in a territory) may apply to TEQSA for registration within a particular category. In order to be registered, TEQSA must be satisfied that the applicant meets the Threshold Standards (as defined by the TEQSA Act). TEQSA will assess the application against the requirements of: z the Tertiary Education Quality and Standards Agency Act 2011 ( the TEQSA Act ), available at http://www. comlaw.gov.au/details/c2011c00582, and z the Threshold Standards (as defined by the TEQSA Act), which include the Provider Registration Standards, the Provider Category Standards, the Provider Course Accreditation Standards, and the Qualification Standards, available at: http://www. comlaw.gov.au/details/f2012l00003/download. Basic regulatory principles The three basic regulatory principles set out in Part 2 of the TEQSA Act have been applied by TEQSA in developing the requirements outlined in each Application Form, and will be used in assessing applications. These are: z the principle of regulatory necessity z the principle of proportionate regulation, and z the principle of reflecting risk. Applying the principle of regulatory necessity, each section of the relevant Application Form is based on requirements set out in the applicable section of the Threshold Standards, in particular those relating to the Provider Category Standards and, for applicants seeking registration for the first time with TEQSA, the Provider Registration Standards. TEQSA will assess applications using an integrative approach that recognises interdependencies across the standards and their components. TEQSA requires applicants to submit a set of documents as required evidence. An applicant then has discretion to select other additional evidence most relevant to their higher education operations. This evidence may be provided to TEQSA at the time of application, or be made available to TEQSA on request. Where an applicant submits evidence that is applicable to one or more standards, it is not necessary to provide the same evidence more than once. The relevant Application Form provides for cross-referencing of common information requirements where more than one application is submitted, or where information is applicable to one or more standards. Where appropriate, applicants should cross-reference the evidence they provide in one of two ways: z noting that the evidence also demonstrates how the applicant meets one or other of the other Threshold Standards referred to in another section of the Application Form, or z noting that the supporting evidence for a particular standard is provided in another application submitted to TEQSA at the same time. Applying the principle of proportionate regulation, TEQSA will determine the issues relevant for focus during the substantive assessment process. The substantive assessment process will be tailored to the circumstances of each applicant and the relevant provider category. Applying the principle of reflecting risk, TEQSA will consider the risks: a. of the applicant not meeting relevant Threshold Standards, including the applicable Provider Category Standards, and, for applicants seeking registration for the first time with TEQSA, the Provider Registration Standards b. to institutional and sector reputational damage. For applicants already registered by TEQSA as a higher education provider, TEQSA will take into account the provider s history and risk profile, and its success at mitigating identified risks, when determining the assessment process required to assess compliance with the relevant Provider Category Standards. It is the applicant s responsibility to submit sufficient evidence to show that it has appropriate arrangements in place and is achieving outcomes 9

that give appropriate assurance to TEQSA that the applicant meets the relevant Threshold Standards, including the applicable Provider Category Standards. Submitting concurrent applications Existing providers changing a Provider Category TEQSA seeks to streamline regulatory processes as far as is practicable. TEQSA encourages providers to submit applications for other processes, as applicable, at the same time as submitting an application for a change of provider category. For example, an applicant could submit, at the same time, an application for renewal of registration (in the category in which the provider is currently registered) along with an application for CRICOS registration, or CRICOS re-registration, under the Education Services for Overseas Students Act 2000. In particular, providers are encouraged to apply, where possible, for renewal of registration at the same time as applying for a change of provider category in order to ensure that TEQSA has current provider information against all Threshold Standards. TEQSA acknowledges that there is a range of factors that may need to be resolved in order to facilitate submission of one or more of these applications. Such factors include the capacity of the provider to undergo more than one regulatory process at the same time, and TEQSA s own capacity to assess multiple applications. Providers are encouraged to contact their relevant TEQSA Provider Case Manager in the Regulation and Review Group directly, or to contact TEQSA via email to: enquiries@ teqsa.gov.au, or by telephoning 1300 739 585 to discuss submission of more than one application at the same time, and to agree on a mutually acceptable process. Intention to submit an application Existing providers changing a Provider Category Applicants are encouraged to advise TEQSA of an intention to submit an application to change provider category approximately six months prior to submitting the provider s application to change provider category. It is recommended that prospective applicants contact the relevant TEQSA Provider Case Manager in the Regulation and Review Group at TEQSA directly, or via email to enquiries@teqsa.gov.au, or by telephoning 1300 739 585 to discuss the timing of an application to change the category in which a provider is registered. Initial registration A regulated entity not already registered with TEQSA may apply to TEQSA at any time for registration as an Australian University College. To facilitate the efficient processing of applications, an applicant is requested to contact TEQSA six months prior to submitting an application, either via email to enquiries@teqsa.gov.au, or by telephoning 1300 739 585. The purposes of this prior contact are to advise of an intention to submit an application, and to make any necessary arrangements for TEQSA to access electronic information referred to in the application that is posted on the applicant s intranet. TEQSA will not require information already in its possession, except where: more up to date information is available; clarification is required; or the provider s own analysis or commentary on the performance data outcomes and trends are expected in relation to data already in TEQSA s possession. Providers are requested to clearly note any specific information required in an Application Form that TEQSA already has in the format required, such as in instances where: another application is submitted to TEQSA at the same time; information is provided in another section of an Application Form; or information obtained through other recent processes may already be in TEQSA s possession. 10

B. THE APPLICATION PROCESS Completing the Application Form This Application Guide should be referred to when preparing an application for a change of provider category or for initial registration as an Australian University College. The Guide refers to the relevant Threshold Standards, provides an explanation of the information requested in each section of the applicable Application Form, and identifies the evidence to be attached. The Guide also lists some examples of the types of other evidence that may be used to demonstrate that the applicant meets the relevant standards. The Application Guide contains three parts: Part 1 Application for Change of Provider Category to Australian University College or Registration as an Australian University College Part 2 Application for Change of Provider Category to Australian University Part 3 Application for Change of Provider Category to Australian University of Specialisation TEQSA requires that an application must be: a. in the approved form, and b. accompanied by the prescribed fee. TEQSA s Fee Schedule and Fee Policy are available at: http:// www.comlaw.gov.au/details/f2013l01405. The relevant Application Form requires applicants to give particular emphasis to: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standards (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. Further, the applicant must demonstrate to TEQSA that it has established effective approaches to quality assurance across its processes and operations. The primary consideration for applicants in submitting evidence should be the adequacy and relevance of each item of evidence, and the balance overall, not the quantity of evidence. There is no maximum number of items of other evidence that may be submitted for each section of each Application Form, but TEQSA asks that applicants submit only essential items with direct relevance to the standards applicable to that section. Note that TEQSA is interested in evidence that demonstrates: z systemic institution-wide compliance across all of the applicant s higher education operations, as well as evidence of implementation and review z benchmarked outcomes for the applicant s performance against the requirements of the relevant Threshold Standards compared to other higher education providers, institutions and/or established measures z how any matters of significant risk are mitigated to ensure compliance with the relevant Threshold Standards. The applicant should indicate the specific section of any document in which the evidence is contained. In attaching evidence, applicants should consider how the evidence supplied goes beyond a demonstration that something exists. The applicant should address how the evidence demonstrates effectiveness, adequacy, or appropriateness of practices, processes or outcomes by reference to benchmarks, other reference points or comparative information. Attachment Checklist A Checklist for Submitting an Application is provided in each Application Form. The relevant Attachment Checklist assists in ensuring that all required attachments are included as part of a complete application and that a complete list of attachments with names and attachment numbers is included with the Application Form. 11

An application will be considered incomplete if it is submitted without the required evidence for all sections of the relevant Application Form. Further, the application will be considered by TEQSA as incomplete if it is not possible to identify easily the section or sections to which any item of evidence refers. Incomplete applications, or applications completed incorrectly, may lead to delays in processing as the application may be returned to the applicant. Following submission, TEQSA may request further information or documentation, including in relation to the evidence listed, at any stage during the assessment process. If an applicant does not provide requested evidence within a reasonable timeframe, TEQSA will make an assessment decision based only on the information available. url references Where an application or any attachments refer to information or evidence on the applicant s website, the weblink reference (url) should be noted in full, together with the exact location of the relevant information for example, the name of the document and page number or section number that is referred to. The url reference should hyperlink to that url. If information is referred to on a website, ensure that: z the system is accessible to TEQSA z appropriate checks have been made to ensure that access is not hindered by internal firewall protection z there is facility to print documents, and z there is facility to save and download documents. If special provision is needed for TEQSA to access electronic information referred to in an application that is posted on the applicant s intranet, these arrangements must be made with TEQSA prior to formal submission of the application. Failure to do so will have an impact on TEQSA s ability to assess the application. Attaching evidence This symbol is used throughout the Application Form and the Application Guide to indicate that something must be attached to the application. Each attachment must: z be a controlled document (include a title, author, approver, and date/version number) z have the title in the heading of the document, consistent with the attachment name listed at Attachment 2 of the relevant Application Form z include page numbers (in the numbering format x of y ) and version numbers in the footer of the document z be sequentially and clearly labelled so that it may be readily located and referenced by TEQSA. Attachment numbers should correspond with the attachment list at Attachment 2 of the relevant Application Form, and z be listed in the attachment list (refer to Attachment 2 of the relevant Application Form). Queries and process clarification Further queries regarding the application process can be directed to the relevant Provider Case Manager in the Regulation and Review Group at TEQSA directly (for existing providers), or via email to enquiries@teqsa.gov. au, or by telephoning 1300 739 585. Please note that TEQSA officers can respond to specific questions about the meaning or interpretation of questions in the relevant Application Form. However, they are not able to otherwise assist or guide applicants in how to complete an Application Form. Submitting the application Providers must submit to TEQSA: z two printed and unbound copies of the Application Form, the Declaration and the Attachment Checklist z two USB sticks (or similar electronic storage device) that can be accessed through a standard USB port, containing electronic copies of the completed Application Form and all attachments, including the required evidence and any other evidence the applicant decides to attach to the application. Please ensure that electronic documents are: z downloadable (in the event that TEQSA needs to print any part of the material supplied) z searchable through an electronic index (for example, through PDF or tableau reader) which accords with the attachment number in the attachment Checklist z Microsoft compatible z limited to file sizes per item of 20 Mb. Where possible, please ensure that electronic documents are hyperlinked to references within the Application Form to assist TEQSA to readily access and review electronic materials. If it is easier or preferable to provide any evidence in hard copy format, then two copies should be submitted. Hard copies must be clearly referenced in the Application Form and the Attachment Checklist. The address for submitting an application is: TEQSA GPO Box 1672 MELBOURNE VIC 3001 TEQSA will acknowledge receipt of applications within five working days. 12

Fees Payment of the non-refundable fee must be made at the time of submission of the application. The payment must be accompanied by a completed payment form/invoice which is the final section of the application form. The completed payment form/invoice must include the legal name of the provider and type of fee. The fees for making the application do not attract GST. Refer to TEQSA s fee schedule available at: http://www.comlaw.gov.au/details/f2013l01405 TEQSA s ABN is 50 658 250 01 For existing higher education providers applying for change of provider category, a non-refundable prescribed fee is payable at the time of submitting the application. If a provider makes an application for a change of provider category at the time of renewal of registration, the provider will not be charged a renewal of registration application fee. If an application proceeds to the substantive assessment stage, a separate fee will apply. Following application submission All applications are assigned to a TEQSA Provider Case Manager. TEQSA will undertake a completeness check, and a substantive assessment of each application, as summarised below. Existing higher education providers change of Provider Category The TEQSA Act does not prescribe a timeframe within which TEQSA must complete an assessment of an application to change provider category. Nor does the TEQSA Act prescribe an approach to the assessment. TEQSA adopts a model of a preliminary assessment and substantive assessment of applications (refer below for details). TEQSA will endeavour to make a determination about an application for change of provider category within approximately nine months, or less, after completing a preliminary assessment. In instances where providers have submitted a concurrent application for renewal of registration, TEQSA will streamline both assessment processes as much as possible, and will endeavour to complete assessments and make a determination on both applications within approximately nine months after completing the preliminary assessments. z Preliminary assessment. TEQSA will, normally within 30 days after an application is received, undertake a completeness check and advise the provider whether its application is accompanied by sufficient information and evidence, and will request further information, documents and/or assistance as necessary. z Substantive assessment. A substantive assessment may include a range of assessment processes such as: a. discussions with selected staff, stakeholders and third parties b. visiting one or more of the provider s higher education locations (in Australia and/or overseas) c. any other means deemed appropriate by TEQSA to validate the information provided in the Application Form and to assist in making a determination about whether the provider meets, and will continue to meet, the relevant Threshold Standards, including the Provider Category Standards in accordance with Section 38 of the Act. For example, an external expert may assess parts of the application. To ensure that there is time for appropriate arrangements to be made, providers will be advised at an early stage of the assessment whether or not any site visits will be required. In advance of a site visit, TEQSA will provide information about the visit format. TEQSA may request further information, documents and/or assistance at any stage during a substantive assessment. 13

z Consultation on use of the word university. In accordance with section 39 of the TEQSA Act, if TEQSA proposes to make a decision to change a provider category, and this proposed category, or the current provider category, permits the use of the word university, then TEQSA must give the provider and the Minister for each relevant state and territory responsible for higher education: a. a written notice stating TEQSA intends to make the decision for specified reasons, and b. a reasonable opportunity to make representations to TEQSA regarding the proposed decision. TEQSA must have regard to any representations received through this process in making any final decision regarding an application to change a provider category to a category that permits the use of the word university. If an applicant succeeds in an application for initial registration in a category that permits the use of the word University, or in changing their category of registration to such a category, an applicant may also wish to change their company name, register business names and/or a domain name to include the word University. The Minister for Tertiary Education, Skills, Science and Research, or person authorised by the Minister, has the authority to approve the word University in a company name, business name and domain name. This also includes letters, words or expressions of like import to the word University. Applicants who wish to apply should contact the Department of Industry, Innovation, Science, Research and Tertiary Education at tertiaryquality@innovation. gov.au to enquire about the application process. 14

Summary of process applying for change of Provider Category In summary, an application by a registered higher education provider to change provider category involves eight main stages, as outlined in the diagram below. Submission of Application Form, attachments and application fee An application by a higher education provider to change provider category must be in the approved form and accompanied by: (a) information, documents and assistance that TEQSA requires; and (b) fee for an application for changing a provider category, in accordance with TEQSA s fee schedule at http://www.comlaw.gov.au/details/f2013l01405. Sections 38 and 158 of TEQSA Act Preliminary Assessment of application by TEQSA Upon receipt of application and required fee, TEQSA will undertake a completeness check of the application. Advice on whether application is sufficiently complete TEQSA will notify the provider, normally within 30 days of receipt of application, of requirements for any further information, documents or assistance. Substantive Assessment of application by TEQSA A substantive assessment may include one or more site visits to the provider s higher education locations. If TEQSA deems that external experts are to be used as part of the assessment process, the provider will be given an opportunity to identify any potential conflicts of interest. TEQSA may request further information, documents and assistance during the substantive assessment. Summary of findings Following the substantive assessment, and if the findings recommend rejection of the provider s application to change provider category, or approval with conditions on registration, TEQSA will send the provider a written summary of findings and any relevant evidence not previously seen by the provider. An opportunity will be given to the provider to comment on the summary of findings before a decision is made by TEQSA.. TEQSA must provide the State and Territory Ministers responsible for higher education written notice stating that TEQSA intends to make a decision for specified reasons and allow a reasonable opportunity for representations to TEQSA in relation to the decision. Section 39 of TEQSA Act 15

Consideration of responses by the provider and/or Minister If a higher education provider, or a Minister, has responded to TEQSA about the summary of findings and proposed decision, TEQSA will consider this information before making a final determination. Section 39 of the TEQSA Act Notification to provider about final decision TEQSA will provide a notice of decision and a final summary of findings to the provider within 30 days of its decision to grant or reject an application to change provider category being made. As applicable, the notice will include the period for which the provider will be registered in the new provider category, and any conditions on registration. The provider will be given up to 28 days to correct any errors of fact in the final summary of findings. Where an application has been rejected, or where conditions have been imposed on a provider s registration, the notice will be accompanied by a statement of reasons. A provider is also given a copy of a draft public report about the decision and up to 28 days in which to provide feedback on the public report. This feedback is taken into account by TEQSA prior to publishing the report. Section 40 of the TEQSA Act Update of National Register If a decision is made to approve the application, TEQSA will change the National Register of Higher Education Providers to reflect its decision in accordance with the National Register Guidelines. Any details about a decision to impose conditions will only be included at the end of the period for applying for review of the decision to impose conditions, or at the end of the review process. A public report on TEQSA decision and main reasons for the decision will only be published on the National Register following consideration of any feedback from the provider as noted above, and where relevant, at the conclusion of the period for applying for review of the decision Where other applications, such as renewal of registration, are submitted at the same time as an application to change provider category, the above process will be tailored as far as possible to incorporate stages related to the other application, or applications, in accordance with the TEQSA Act. 16

Initial registration in the category of Australian University College TEQSA adopts a model of a preliminary assessment and substantive assessment of applications. z Preliminary Assessment. In accordance with section 19 of the TEQSA Act, TEQSA will, within 30 days after an application is made, advise the applicant whether its application for registration in the category of Australian University College is appropriate, and if it is not, what provider category would be appropriate (if any). z Substantive Assessment. A substantive assessment may then be conducted, in accordance with section 20 of the TEQSA Act. A substantive assessment may include a range of assessment processes such as: a. discussions with selected staff, stakeholders and third parties b. visiting one or more of the provider s higher education locations (in Australia and/or overseas) c. any other means deemed appropriate by TEQSA to validate the information provided in the Application Form and to assist in making a determination about whether the applicant meets, and will continue to meet, the Threshold Standards. For example, an external expert may assess parts of the application. Consultation on use of the word university. In accordance with sections 19(2)(b) and 20(2)(b) of the TEQSA Act, TEQSA must consult the Minister for each relevant state and territory responsible for higher education on the application and have regard for any advice or recommendations given by each of those Ministers during the preliminary assessment stage and the substantive assessment stage. If an applicant succeeds in an application for initial registration in a category that permits the use of the word University, or in changing their category of registration to such a category, an applicant may also wish to change their company name, register business names and/or a domain name to include the word University. The Minister for Tertiary Education, Skills, Science and Research, or person authorised by the Minister, has the authority to approve the word University in a company name, business name and domain name. This also includes letters, words or expressions of like import to the word University. Applicants who wish to apply should contact the Department of Industry, Innovation, Science, Research and Tertiary Education at: tertiaryquality@innovation. gov.au to enquire about the application process. 17

Summary of process applying for initial registration as an Australian University College In summary, an application for registration in the category of Australian University College involves eleven main stages, as outlined in the diagram below. Submission of Application Form, attachments and application fee An application for registration in the category of Australian University College must be in the approved form and accompanied by: (a) information, documents and assistance that TEQSA requires; and (b) fee for preliminary assessment in accordance with TEQSA s fee schedule at http://www.comlaw.gov.au/details/ F2013L01405 Sections 18(3) and 46(2) of the TEQSA Act Preliminary Assessment of application by TEQSA, including consultation on use of university Upon receipt of application and required fee, TEQSA will undertake a completeness check of the application. TEQSA will consult the State and Territory Ministers responsible for higher education on the application and will allow a reasonable opportunity for representations to TEQSA in relation to the application. Sections 18, 19 and 158 of the TEQSA Act Determination of appropriateness of provider category and advice on required information, documents and assistance TEQSA will have regard to any advice or recommendations given by a Minister, and will notify the applicant, within 30 days of receipt of application, whether the provider category of Australian University College is appropriate, and if it is not, what provider category would be appropriate (if any). TEQSA will also advise on requirements for any further information, documents or assistance. Section 19 of the TEQSA Act Applicant decides whether to proceed with application to substantive assessment stage If yes, payment of substantive assessment fee is made. Sections 20 and 158 of TEQSA Act 18

Substantive assessment of application by TEQSA, including consultation on use of university Upon receipt of the substantive assessment fee, TEQSA will undertake a substantive assessment. A substantive assessment may include one or more site visits to the applicant s higher education locations. If TEQSA deems that external experts are to be used as part of the assessment process, the applicant will be given an opportunity to identify any potential conflicts of interest. TEQSA may request further information, documents and assistance during the substantive assessment. TEQSA will consult the State and Territory Ministers responsible for higher education on the application and will allow a reasonable opportunity for them to respond to TEQSA in relation to the application. Section 20 of the TEQSA Act Consideration of response by a Minister If a Minister has made representation to TEQSA about an application, TEQSA will consider this response before making its decision on the application. Section 20 of the TEQSA Act Summary of findings TEQSA will reach a proposed decision normally within nine months of commencing a substantive assessment. A longer period may be determined by TEQSA, not exceeding a further nine months. If the proposed decision is to reject the application, or to approve it with conditions on registration, TEQSA will send the applicant a written summary of findings and any relevant evidence not previously seen by the applicant. An opportunity will be given to the applicant to make representation to TEQSA about the summary of findings and the proposed decision. Consideration of applicant s response If an applicant has responded about a summary of findings and proposed decision to reject the application for registration in the category of Australian University College, or to approve the application with conditions, TEQSA will consider this information before making a final decision. 19

Final Decision by TEQSA TEQSA will normally make a final decision on the application with nine months of receiving the substantive application fee, subject to TEQSA not requiring a longer period. The final decision includes a decision about the period for which the applicant is registered in the category of Australian University College. This period must not exceed seven years. Section 22 of the TEQSA Act Notification to applicant about final decision TEQSA will provide a notice of decision and a final summary of findings to the applicant within 30 days of a decision being made by TEQSA to grant or reject an application for registration in the provider category of Australian University College. The notice will include the period for which the applicant will be registered, and any conditions, as applicable. The applicant will be given up to 28 days to correct any errors of fact in the final summary of findings. Where an application has been rejected, or where conditions have been imposed on the applicant s registration, the notice will be accompanied by a statement of reasons. If the decision is to grant registration, or to grant registration with conditions, an applicant is also given a copy of a draft public report about the decision and up to 28 days in which to provide feedback on the public report. This feedback is taken into account by TEQSA prior to publishing the report. Section 22 of the TEQSA Act Change to National Register If a decision is made to register the applicant, TEQSA will change the National Register of Higher Education Providers to include the applicant s details as necessary to reflect its decision in accordance with the National Register Guidelines. Any details about a decision to impose conditions will only be included at the end of the period for applying for review of the decision to impose conditions, or at the end of the review process. The public report will only be published on the National Register following consideration of any feedback from the applicant as noted above and, where relevant, at the conclusion of the period for applying for review of the decision. 20

TEQSA s decisions TEQSA timeframes for decision making on an application will depend on a range of issues, such as whether the application is complete, whether a request for further information is required and the timeframe for providing this information, and whether site visits are required as part of a substantive assessment process. TEQSA s decisions may be reviewable in accordance with Division 1 of Part 10 of the TEQSA Act. Complaints Providers that are dissatisfied with the way TEQSA handled particular matters may contact the Commonwealth Ombudsman. The Commonwealth Ombudsman will usually expect that attempts to resolve a complaint about TEQSA will have been made directly with TEQSA before approaching the Ombudsman. More information in relation to complaints about TEQSA is available at: www.teqsa.gov.au/complaints. Privacy note TEQSA is obliged to protect any personal information about individuals in accordance with the provisions of the Privacy Act 1988. TEQSA collects the personal information sought in its Application Forms so that it can assess the application. TEQSA may also use the information provided for the purpose of assessing or enforcing compliance with any legislation that TEQSA has responsibility for enforcing. TEQSA usually discloses personal information it collects through the application process to: z Commonwealth, state or territory agencies with responsibility for regulating education (including: the Department of Education, Employment and Workplace Relations; the Department of Industry, Innovation, Science, Research and Tertiary Education; and the Australian Skills Quality Authority), for the purposes of informing assessment of the application z experts contracted by TEQSA for the purpose of providing advice to inform assessment of the application. Confidentiality of information Applicants are asked to identify in writing any information, or part of information that they consider should be protected as confidential information in considering their application for change of provider category, or initial registration as an Australian University College including reasons for the request. TEQSA may request further information from an applicant about its claim for confidentiality. TEQSA will consider all such requests. While TEQSA has certain statutory obligations of confidentiality, pursuant to Division 2, Part 10 of the TEQSA Act, applicants should note that TEQSA also operates within a public accountability framework. This includes obligations: z to provide information to Ministers, the Commonwealth Parliament or Parliamentary Committees; z under the Freedom of Information Act 1982, the Auditor-General Act 1997, and the Ombudsman Act 1976; and z to provide reasons for TEQSA s decisions or details about TEQSA s activities, including in the context of court or tribunal proceedings. If TEQSA receives a request to disclose an applicant s confidential information, TEQSA will usually endeavour to consult the applicant, and to give the applicant an opportunity to make submissions on whether TEQSA should release the information. In certain cases this course of action may not be possible. False and misleading information Note that giving false or misleading information is a serious offence. 21

PART 1 APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY COLLEGE OR REGISTRATION AS AN AUSTRALIAN UNIVERSITY COLLEGE Introduction Existing higher education providers seeking to change their registration to the Australian University College provider category must complete Parts A and B of the Application Form Application for Change of Provider Category to Australian University College or Registration as an Australian University College. Information to assist providers with their application is included in sections A and B of this part of the Guide. The section numbers correspond with those in the Application Form. Applicants applying for initial registration as an Australian University College must complete Parts A, B and C of the Application Form Application for Change of Provider Category to Australian University College or Registration as an Australian University College. Information to assist applicants with their application is included in sections A, B and C of this part of the Guide. The section numbers correspond with those in the Application Form. In considering applications, TEQSA will seek confirmation that the applicant has extensive plans in place to demonstrate capability regarding the Australian University College Provider Category Standards. Areas TEQSA will consider include: z a developed, or capacity to develop a, research capability z a commitment to systematic advancement and dissemination of knowledge z a sustained approach to developing a culture of scholarship z systematic and well developed quality assurance approaches and the maintenance of academic standards. The Australian University College provider category is one pathway to achieving registration in the Australian University category or Australian University of Specialisation category. A significant difference between the Australian University College category standards and the Australian University category standards is in the scope of Masters Degrees (Research) and Doctoral Degrees (Research) the provider is required to deliver. The Australian University College category standards require these degrees to be delivered in at least one broad field of study (that is, the Broad Field of Education as defined by the ASCED two digit code). The Australian University category standards require these degrees to be delivered in at least three broad fields of study. Self-accrediting Authority The Criteria for authorising self-accrediting authority within the Threshold Standards provide that a higher education provider approved by TEQSA for registration in the Australian University College provider category is authorised to self-accredit all courses of study. An application for self-accrediting authority is automatically included in the Application Form Application for Change of Provider Category to Australian University College or Registration as an Australian University College. Each applicant must confirm that they are applying for self-accrediting authority as part of the application by completing and signing the Declaration Form included in the Application Form at Attachment 8. Self-accrediting authority is a significant responsibility. Providers that self-accredit higher education courses of study are accountable for interpreting the requirements of the Threshold Standards (in particular the Provider Course Accreditation Standards and the Qualification Standards) and for judging whether these will be appropriately applied and met throughout the development, approval, delivery and discontinuance of a course of study. In exercising this authority, the provider is also responsible for ensuring that compliance across all the Threshold Standards is sustained throughout their higher education operations. A provider s ability to effectively self-accredit its courses of study will fundamentally depend on the breadth and depth of discipline area knowledge and expertise in place that is relevant to the courses of study being offered and at the appropriate level. Of equal significance is the extent to which robust, mature, 22

sufficient, and highly effective capacity and capability are embedded throughout the provider s higher education operations in the following areas: z academic governance z internal quality assurance, including processes for developing, approving, resourcing, monitoring, reviewing, improving, and discontinuing courses of study z sustained scholarship which informs teaching and learning, in particular as it relates to scholarship of the specific discipline or disciplines relevant to the higher education courses of study being offered z maintenance of academic standards and academic integrity. These attributes demonstrate the provider s capacity for the expert academic judgment and insight necessary to design, develop, launch and maintain high quality courses of study at the higher education level. Self-accrediting authority is covered under: Standard 3.2 of the Australian University College Provider Provider Category Standards; Standard 2.2 of the Australian University Provider Category Standards; and Standard 4.2 of the Australian University of Specialisation Provider Category Standards. The Criteria for authorising selfaccrediting authority are listed at pages 18 and 19 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/f2012l00003/ Dowload. Structure of the Application Form The Application Form Application for Change of Provider Category to Australian University College or Registration as an Australian University College has three main sections: z Section A Applicant details and rationale for applying z Section B Summary of how the applicant meets the Australian University College Provider Category Standards z Section C Summary of how the applicant meets the Provider Registration Standards. (This section should be completed only by applicants not currently registered by TEQSA as a higher education provider). Section A of the Application Form requires the applicant to respond to specific questions relating to: z applicant details, including details about the legal entity and registered business names z a contact officer for TEQSA to liaise with during the application assessment process z the scope of any existing self-accrediting authority z the rationale for applying for registration in the category of Australian University College, including a high level summary of how the applicant will meet the ten standards within Section 3 of the Provider Category Standards, and how this application relates to the applicant s strategic objectives and mission. Sections B and C of the Application Form require: z a summary statement outlining how the provider meets the standards noted in that section. As a guide, this statement should be around 2,500 words, noting that the required evidence and other evidence that the provider chooses to submit with the application will set out details. Each summary statement should include information relevant to the applicable provisions of the Provider Category Standards in relation to: ʱʱ ʱʱ the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible any matters of significant risk identified in relation to the relevant Provider Category Standard and its components (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas), and how these risks are mitigated to ensure compliance. z a list of evidence TEQSA requires to be attached to the Application Form z a list of other evidence to demonstrate that the applicant meets the relevant Provider Category Standards referred to in that section of the Application Form. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so it can be made accessible to TEQSA on request during the assessment process Examples of types of evidence are contained in this Application Guide. These are provided as examples only, are not definitive, not listed in any order of priority, and not exclusive. They are intended to aid each applicant in selecting sufficient evidence to show that it has appropriate arrangements in place and is achieving outcomes that give appropriate assurance to TEQSA that it meets the relevant Provider Category Standard. z a table in which to cross-reference evidence or information supplied in other sections of the Application Form, or in any separate application submitted to TEQSA at the same time as this application. 23

SECTION A APPLICANT DETAILS AND RATIONALE FOR APPLYING A1.1 Name of legal entity applying Applicants must note the legal name of the entity applying for registration in the category of Australian University College. A1.2 Legal entity Indicate by selecting YES or NO whether the applicant is currently registered by TEQSA as a higher education provider. If the answer is NO, applicants must complete subsections A1.2.1 to A1.2.4 of the Application Form. If the answer is YES, applicants must note the TEQSA Identification Number in the Application Form and then go to section A1.3. The TEQSA Identification Number is available by contacting the relevant Provider Case Manager directly, by email to enquiries@teqsa.gov.au or by telephoning 1300 739 585. A1.2.1 Type of legal entity TEQSA is seeking evidence that the applicant entity is: z a valid constitutional corporation: that is, a trading or financial corporation formed in Australia or a foreign corporation to which paragraph 51(xx) of the Constitution of Australia applies. (Note that activities within a business plan that will indicate that the applicant entity is a valid trading corporation may include commercial activity, fee for service for student tuition, and/or revenue generation) z a corporation established by or under a law of the Commonwealth or a territory, or z a person who conducts activities in a territory and who offers, or intends to offer, a higher education award for the completion of a course of study provided wholly or partly in a territory. The following table describes different types of legal entities, along with the evidence that must be submitted with the application to establish identity. 24

Type of legal entity 1 Statutory body Company limited by shares (private). This means the entity is a proprietary company incorporated under the Corporations Act 2001(Cwlth), is regulated by the Australian Securities and Investment Commission (ASIC), and has Pty Ltd in the name. Company limited by shares (public). This means the entity is incorporated under the Corporations Act 2001 (Cwlth), is regulated by the Australian Securities and Investment Commission (ASIC), and has Limited or Ltd in the name. Company limited by shares (public and listed). This means the entity is incorporated under the Corporations Act 2001(Cwlth), is regulated by the Australian Securities and Investment Commission (ASIC), has Limited or Ltd in the name, and is listed on the Australian or other stock exchange. Company limited by guarantee. This means the entity is a company in which the liability of the company s members is limited to the amount the members undertake to contribute to the property of the company if it is wound up. Incorporated association. This means the entity is incorporated under the relevant state or territory associations incorporation Act. A corporation established by or under a law of the Commonwealth or a territory. A person who conducts activities in a Territory and who offers, or intends to offer, a higher education award for the completion of a course of study provided wholly or partly in a territory. Evidence that must be attached to the Application Form documents must be certified Reference to state, territory or Commonwealth Act. Copy of Certificate of Incorporation issued by ASIC, and ASIC Historical Company Extract which includes details of the company as at the time of lodging this application. This Extract can be ordered through the ASIC website. Copy of Certificate of Incorporation issued by ASIC, and ASIC Historical Company Extract which includes details of the company as at the time of lodging this application. This Extract can be ordered through the ASIC website. Copy of Certificate of Incorporation issued by ASIC, and ASIC Historical Company Extract which includes details of the company as at the time of lodging this application. This Extract can be ordered through the ASIC website. Copy of Certificate of Incorporation issued by ASIC, and ASIC Historical Company Extract which includes details of the company as at the time of lodging this application. This Extract can be ordered through the ASIC website. Copy of Certificate of Incorporation issued by the relevant state or territory department. Copy of Certificate of Incorporation issued by the Commonwealth or relevant territory department. Evidence of intended higher education course offerings in a territory and of activities conducted in a territory. (Please contact TEQSA to discuss evidence that may demonstrate that the applicant meets this criterion if the type of evidence that should be submitted is unclear.) If the applicant does not fall into any of these categories, independent legal advice should be sought by the applicant as to whether or not the entity is a valid constitutional corporation. Documents must be certified as a true copy by a person before whom statutory declarations may be made under the Statutory Declarations Act 1959 (Commonwealth). A list of these persons is available at: http://www.ag.gov.au/www/agd/agd.nsf/page/statutorydeclaration_statutorydeclarationsignatorylist. The certification should be in the following form: certified true copy of original document Signed........................................................................................ Name.......................................................................................... Qualification............................................................................ Date............................................................................................ 1 Foreign universities are expected to seek registration as a Higher Education Provider, as an Overseas University or as an Overseas University of Specialisation, as the Provider Category Standards require that Australian Universities, Australian Universities of Specialisation and Australian University Colleges offer an Australian Higher Education Award. Separate application forms for these categories of registration are available from the TEQSA website: www.teqsa.gov.au 25

A1.2.2 Profit status of entity and parent entity TEQSA requires the applicant to note whether the entity, and its parent entity, is For Profit or Not for Profit. Please select the relevant box at section A1.2.2 of the Application Form. A1.2.3 Australian Company Number An Australian Company Number (ACN) is a unique nine digit identifier issued by the Australian Securities and Investment Commission (ASIC) to every company registered under the Corporations Act 2001 (Cwlth). Where the applicant has an ACN, TEQSA requires that the applicant s ACN is noted at section A1.2.3 of the Application Form. A1.2.4 Australian Business Number An Australian Business Number (ABN) is a unique identifier issued by the Australian Business Register. It is an 11 digit number that, in the case of a company, includes the company s ACN. TEQSA requires that the applicant s ABN is noted at section A1.2.4 of the Application Form. A1.2.5 ASX Code (for listed companies) If the applicant is a listed company on the Australian Stock Exchange, provide the ASX Code at section A1.2.5 of the Application Form. A1.3 Registered business (trading) name or names List the registered business name or names the applicant is, or will be, using for the applicant s higher education operations if registered by TEQSA in the category of Australian University College. A1.4 Other concurrent applications Indicate whether the applicant is submitting any other applications to TEQSA at the same time as submitting an application for registration in the category of Australian University College. For example, existing providers may submit at the same time an application for renewal of registration, or re-registration, under the Education Services for Overseas Students Act 2000. A1.5 Contact Officer At any time during the preliminary assessment or the substantive assessment stages, the applicant may be asked to clarify aspects of the application and/or to provide additional information. Applicants must provide to TEQSA the name of the person who has the authority to liaise directly with TEQSA throughout the application process. The Contact Officer must be familiar with the evidence submitted, and must be deemed to have an appropriate level of skill, knowledge and expertise necessary to provide additional, timely and accurate information and/or clarification as requested by TEQSA. A1.6 Existing self-accrediting authority Select either YES or NO in section A1.6 of the Application Form to identify whether the applicant has existing authority to self-accredit any of its higher education courses of study. If the answer is YES, TEQSA requires information about the scope of the current self-accrediting authority. Complete the table at section A1.6 of the Application Form with the following information: z a list of courses of study offered by the applicant and the applicable Australian Standard Classification of Education (ASCED) Narrow Field of Education codes. If the applicant has authority to self-accredit all of its higher education courses of study, note this in the table z the date self-accrediting authority was granted z the period for which self-accrediting authority was granted, if not granted by TEQSA z the name of the agency and/or legislative provisions through which self-accrediting authority has been granted. ASCED is a classification of courses, specialisations, and units of study with the same or similar vocational emphasis or principal subject matter in the course of study. The Narrow Field of Education code is a four digit code. The ASCED codes can be accessed at: http://www. ausstats.abs.gov.au/ausstats/free.nsf/0/2d08d604cc0 32093CA256AAF0080766F/$File/12720_2001.pdf. If this is the case, in section A1.5 of the Application Form list any other application submitted at the same time. There may be some sections in the Application Form that require the same information as that requested in other applications. TEQSA only requires the information to be submitted once. Please cross-reference such information accordingly. 26

A1.7 Rationale for seeking registration in the category of Australian University College TEQSA requires an overall rationale for applying for registration in the category of Australian University College, including a high level summary of how the applicant will meet the ten standards in Section 3 of the Provider Category Standards. Section 3 of the Provider Category Standards is at pages 10 and 11 of the Higher Education Standards Framework, available at: http:// www.comlaw.gov.au/details/f2012l00003/dowload. The applicant should provide reasons for seeking registration in this category, and show how this application aligns with, and supports, the applicant s strategic objectives and mission. (As the following sections of the Application Form require applicants to address the requirements of specific standards, there is no need to reference individual standards in the rationale.) 27

SECTION B SUMMARY OF HOW THE APPLICANT MEETS THE AUSTRALIAN UNIVERSITY COLLEGE PROVIDER CATEGORY STANDARDS Section B of the Application Form requires evidence against each of the Australian University College Provider Category Standards 3.1 to 3.10. Each of the ten standards is detailed in this Guide. The standards are also contained in pages 10 and 11 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/ Details/F2012L00003/Download. SUBSECTION B1: PLANS TO MEET CRITERIA FOR AN AUSTRALIAN UNIVERSITY CATEGORY Standard 3.1 The higher education provider has realistic and achievable plans to meet all the criteria for an Australian University Category within five years of its approval to use the title Australian University College. B1.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.1. The summary must include information about: z an effective plan for developing, embedding and maturing its higher education operations within a five year period to meet all criteria within the Australian University or the Australian University of Specialisation Provider Category Standards z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B1.2 Required evidence (to be attached to the application) TEQSA requires evidence that the applicant has realistic and achievable plans to meet, within a five year period, all the Australian University or the Australian University of Specialisation Provider Category Standards. In particular, TEQSA is seeking evidence of the applicant s ability to effectively plan for developing, embedding and maturing its higher education operations and to identify and mitigate associated challenges and risks in order to meet all of the Australian University or the Australian University of Specialisation Provider Category Standards within a five year period. TEQSA requires that the following evidence is attached to the Application Form. The evidence may be presented as a series of plans or similar, or may be combined into one document. Processes to regularly monitor progress against set priorities and targets, and then to update strategies to reflect changes over time, should be in place. B1.2.1 For those applicants aspiring to registration within a five year period in the category of Australian University : ë Attach a plan, or plans, outlining objectives, timeframes, targets and performance indicators to meet, within a five year period, the Australian University Provider Category Standards. The plan, or plans, must include evidence that demonstrates how the applicant will, within a five year period: z self-accredit and deliver undergraduate and postgraduate courses of study that meet the Qualification Standards across a range of Broad Fields of Education, including Masters Degrees (Research) and Doctoral Degrees (Research) in at least three of the broad Fields of Education that the provider will offer z undertake research that leads to the creation of new knowledge and original creative endeavour in at least three broad Fields of Education in which Masters degrees (Research) and Doctoral degrees (Research) will be offered z ensure that sustained scholarship will inform teaching and learning across all fields of education in which courses of study will be offered z ensure the availability of an extensive range of student services, including student academic and learning support, and extensive resources for student learning, in all discipline areas in which courses of study will be offered z ensure that systematic internal processes for quality assurance, and for the maintenance of academic standards and academic integrity, will be further developed and enhanced to support the applicant s vision of becoming an Australian University. (Note that the Broad Field of Education is defined by an ASCED two digit Broad Field of Education code. TEQSA anticipates that undergraduate and postgraduate courses of study would typically be offered in the same Field of Education for example, in the discipline of Business a Bachelor of Business, or a Bachelor of Commerce, and a Master of Business Administration.) 28

B1.2.2 For those applicants aspiring to registration within a five year period in the category of Australian University of Specialisation : ë Attach a plan, or plans, outlining objectives, timeframes, targets and performance indicators to meet, within a five year period, the Australian University of Specialisation Provider Category Standards. The plan, or plans, must include evidence to demonstrate how the applicant will, within a five year period: z self-accredit and deliver undergraduate and postgraduate courses of study that meet the Qualification Standards in one or two Broad Fields of Education, including Masters Degrees (Research) and Doctoral Degrees (Research) in these Broad Fields of Education offered z undertake research that leads to the creation of new knowledge and original creative endeavour in at least those Broad Fields of Education in which Masters Degrees (Research) and Doctoral Degrees (Research) will be offered z ensure that sustained scholarship will inform teaching and learning across all Fields of Education in which courses of study will be offered z ensure the availability of an extensive range of student services, and extensive resources for student learning, will be available across all disciplines offered z ensure that systematic internal processes for quality assurance, and the maintenance of academic standards and academic integrity, will be further developed and enhanced to support the vision of becoming an Australian University of Specialisation. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.1 include (but are not limited to): z the applicant s planning framework and alignment with resource allocation processes z processes used to develop and approve plans z regular monitoring and ongoing assessment processes for reviewing and monitoring plans against strategic objectives z examples of how plans are used in decision making processes. B1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B1.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.1 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B1.3 List of other evidence identified by the applicant In the table at subsection B1.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets the Australian University College Provider Category Standard 3.1. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. 29

SUBSECTION B2: SELF-ACCREDITING COURSES OF STUDY THAT MEET THE QUALIFICATION STANDARDS Standard 3.2 The higher education provider self-accredits and delivers undergraduate and postgraduate course of study that meet the Qualification Standards across a range of broad fields of study (including Masters Degrees (Coursework) in at least three broad fields of study, and Masters Degrees (Research) and Doctoral Degrees (Research) in at least one of the broad fields of study it offers). As part of this application: z an applicant that does not have authority to selfaccredit any of its higher education courses of study is applying to TEQSA for self-accrediting authority z an applicant that has authority to self-accredit some of its courses of study is applying to TEQSA for selfaccrediting authority for those courses of study for which it does not have self-accrediting authority. B2.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.2. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B2.2 Required evidence (to be attached to the application) B2.2.1 Applicants without existing self-accrediting authority The following list of evidence must be attached to the application if the applicant has no existing authority to self-accredit any of its higher education courses of study. This evidence will assist TEQSA to consider the applicant s capacity to self-accredit all of its courses of study. ë Attach a list of the undergraduate and postgraduate courses of study currently offered across a range of Broad Fields of Education, including: z Masters Degrees (Coursework) in at least three Broad Fields of Education z Masters Degrees (Research) in at least one of the Broad Fields of Education it offers z Doctoral Degrees (Research) in at least one of the Broad Fields of Education it offers. Include, for each course of study, the AQF award level and the date when the course was first offered by the applicant. For applicants not currently registered by TEQSA, but recognised within an overseas jurisdiction, also include the expiry date of all course accreditations and advice on the duration of course accreditation periods, if applicable. (Note that the Broad Field of Education is defined by an ASCED two digit Broad Field of Education code). ë Attach evidence of processes to ensure that all the applicant s higher education courses of study will meet the Qualification Standards, including: z policies, procedures, guidelines or similar that outline the applicant s approach to credit transfer, articulation and recognition of prior learning (RPL) z a plan or similar outlining how the provider will achieve, by 1 January 2015, full compliance with the AQF requirements within the Qualification Standards 2 z mechanisms used to authenticate certification documentation for the purposes of preventing fraudulent use z processes to ensure that students will be able to access a statement of attainment or record of results when they have completed one or more subjects toward an award qualification z examples of certification documentation for the higher education awards to be offered. The Qualification Standards are contained at pages 20 to 24 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. ë Attach evidence that the applicant s staff profile demonstrates a breadth and depth of discipline knowledge in the Fields of Education in which higher education courses of study are offered. ë Attach evidence that the applicant has no issues or conditions outstanding from its most recent registration and course accreditations by any recognised registration or 2 The AQF Implementation Arrangements require that all requirements of the AQF be met from 1 January 2015 (refer to page 101 of the Australian Qualifications Framework, July 2011, available at: http://www.aqf.edu.au/) 30

accreditation authority, other than TEQSA, no substantiated serious complaints, and no history of significant compliance problems in other assessments audits or reviews of its higher education operations conducted by external professional bodies or government agencies. ë Attach policies, procedures, guidelines or similar outlining the applicant s approach to, and responsibilities for, identifying, seeking and maintaining professional accreditation, registration or recognition as required for its higher education courses of study. ë Attach a committee structure diagram that illustrates the hierarchy and reporting relationships between the governing body and each board, committee and/or group with responsibility for academic governance. ë Attach a delegation schedule or similar approved by the governing body that outlines authority for academic governance decisions, including for the Academic Board or similar body. ë Attach formally approved composition, statute and/ or approved Terms of Reference for the Academic Board or similar body that has responsibility for setting academic policy and/or oversight of academic standards and effective quality assurance arrangements, and the terms and criteria for membership. (A definition of academic standards is contained in the Glossary of Terms.) ë Attach information about each member of the body with responsibility for setting academic policy and/ or oversight of academic standards and effective quality assurance arrangements, such as the Academic Board or similar body. Information must include the following and reflect the collective depth, breadth and currency of expertise: z name z whether or not each member is an employee of the applicant z current position and/or occupation z contact details (telephone and email address) z summary of expertise relevant to each member s appointment (including relevant ASCED Narrow Field of Education) z details of each member s highest educational qualification z term of appointment. ë Attach confirmed minutes of meetings for the previous 12 month period of the Academic Board or similar body that has responsibility for setting academic policy and/ or oversight of academic standards and effective quality assurance arrangements. ë Attach reports from external or internal reviews of the academic governance arrangements, including reviews of the Academic Board or similar body, and evidence of changes made over the previous five years to ensure ongoing effectiveness. ë Attach documentation outlining the processes for course development, course approval, course monitoring, course review and course discontinuance, including, for each process, details of: z the capacity of those involved in the process to make discipline-based judgements in the fields of education and levels of qualifications offered across the institution z the steps involved z responsibilities and accountabilities, including reporting to the Academic Board or similar body z frequency and timeframes z data used z any external inputs z evaluations and reviews undertaken z changes made to enhance process effectiveness over a sustained period (that is, a minimum period of three years). B2.2.2 Applicants with existing self-accrediting authority This list of evidence must be attached to the application if the applicant either: z has existing self-accrediting authority for one or more of its higher education courses of study, or z has been granted self-accrediting authority for all of its higher education courses of study. ë Attach a list of the undergraduate and postgraduate courses of study currently offered across a range of Broad Fields of Education, including: z Masters Degrees (Coursework) in at least three Broad Fields of Education z Masters Degrees (Research) in at least one of the Broad Fields of Education it offers z Doctoral Degrees (Research) in at least one of the Broad Fields of Education it offers. Include, for each course of study, the specific AQF award level and the date when the course was first offered by the applicant. As applicable, also include the expiry date of course accreditation and the duration of course accreditation. (Note that the Broad Field of Education is defined by an ASCED two digit Broad Field of Education code. TEQSA anticipates that undergraduate and postgraduate courses of study would typically be offered in the same Field of Education for example, in the discipline of Business a Bachelor of Business, or a Bachelor of Commerce, and a Master of Business Administration.) ë Attach evidence of processes in place to demonstrate that the applicant s higher education courses of study meet the Qualification Standards, including: z policies, procedures, guidelines or similar that outline the applicant s approach to credit transfer, articulation and 31

recognition of prior learning (RPL) z a plan or similar outlining how the provider will achieve, by 1 January 2015, full compliance with the AQF requirements within the Qualification Standards 3 z mechanisms used to authenticate certification documentation for the purposes of preventing fraudulent use z processes to ensure that students will be able to access a statement of attainment or record of results when they have completed one or more subjects toward an award qualification z examples of certification documentation for the higher education awards to be offered. The Qualification Standards are contained at pages 20 to 24 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. ë Attach evidence that the applicant s staff profile demonstrates a breadth and depth of discipline knowledge in the Fields of Education in which higher education courses of study are offered. ë Attach policies, procedures, guidelines or similar outlining the applicant s approach to, and responsibilities for, identifying, seeking and maintaining professional accreditation, registration or recognition as required for its higher education courses of study. ë Attach evidence that the applicant has no issues or conditions outstanding from its most recent registration and course accreditations by a recognised registration or accreditation authority, other than TEQSA, no substantiated serious complaints and no history of significant compliance problems in other assessments audits or reviews of its higher education operations conducted by external professional bodies or government agencies. ë Attach evidence that the applicant has effective academic governance processes, including: z reports from external or internal reviews of the Academic Board or similar body z the depth, breadth and currency of discipline expertise within academic governance processes z any changes made over the last five years to enhance effectiveness of academic governance processes. 3 The AQF Implementation Arrangements require that all requirements of the AQF be met from 1 January 2015 (refer to page 101 of the Australian Qualifications Framework, July 2011, available at: http://www.aqf.edu.au/) ë Attach confirmed minutes of meetings for the previous 12 month period of the Academic Board or similar body that has responsibility for setting academic policy and/ or oversight of academic standards and effective quality assurance arrangements. ë Attach evidence of established and effective processes for course development, course approval, course monitoring, and course review, including how data and feedback are used for decision making and improvement. B2.3 List of other evidence identified by the applicant In the table at subsection B.2.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University College Provider Category Standard 3.2. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the relevant standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.2 include (but are not limited to): z performance data on teaching and student learning outcomes, graduate outcomes and evidence of the analysis of, and response to, outcomes across all Fields of Education z evidence of academic leadership across discipline areas in which the provider self-accredits courses of study z advice on how the applicant s academic management of its self-accrediting authority encourages the maintenance and review of academic standards z example reports provided to the academic board and governing body regarding the quality and currency of courses of study z approaches to benchmarking against relevant external standards and how benchmarking contributes to the ongoing quality assurance of an applicant s self-accrediting authority. 32

B.2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B.2.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.2 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 33

SUBSECTION B3: RESEARCH Standard 3.3 The higher education provider undertakes research that leads to the creation of new knowledge and original creative endeavour at least in those broad fields of study in which Masters Degrees (Research) and Doctoral Degrees (Research) are offered. B3.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.3. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B3.2 Required evidence (to be attached to the application) The following evidence must be attached to the application. B3.2.1 Applicants that currently undertake research: ë Attach a research plan, academic plan or similar that outlines the applicant s research objectives and targets, and evidence of progress against the plan s objectives. ë Attach evidence of actual budget used over the past three years to support research and research training activities, and attach evidence of budget allocations to support planned research activities over the next five years. ë Attach evidence of the applicant s research which demonstrates how research is undertaken, identifies who undertakes the research, and specifies research outcomes. Include information about research performance and capability within the past five years, covering: z the number of, and quality, of research publications (such as books, book chapters, articles in scholarly journals and conference papers) z the number of student completions in Higher Degree by Research (HDR) courses of study z the number and value of successful research grants z industry or other research funding. ë Attach evidence of how the applicant s research effort leads to the creation of new knowledge and original creative endeavour in at least the Broad Fields of Education in which Masters Degrees (Research) and Doctoral Degrees (Research) are currently, or planned to be, offered. ë Attach evidence of the applicant s external and independent reviews/validation of research quality, including examples of improvements resulting from such reviews. ë Attach evidence of the effectiveness of the applicant s processes for research and research management, including processes for dealing with: z research codes of practice z appointment, development and performance review of research supervisors z ethics approval z research misconduct z ownership of intellectual property arising from research z minimum level of resources available to research students z research culture z research funding and grants z cross-disciplinary research. ë Attach evidence of the effectiveness of the applicant s processes for examining HDR candidates, including: z selection process for examiners z number of examiners, including proportion of external examiners z expected timeframes for examiners to complete examination of a thesis z decision making processes for examiner recommendations z appeal processes for examiner decisions. B3.2.2 Applicants that do not yet undertake research: ë Attach a research plan, academic plan or similar that outlines for the next five years the applicant s research objectives and targets for research activity. ë Attach evidence of budget allocations for the next five years to support research and research training activities. ë Attach evidence of how research will be undertaken, by whom, and expected research outcomes. Include information about expected outcomes over the next five years for: z the number of, and quality, of research publications (such as books, book chapters, articles in scholarly journals and conference papers) z the number of student completions in HDR courses of study z the number and value of successful research grants z industry or other research funding. 34

ë Attach information about how the applicant s planned research effort will lead to creation of new knowledge and original creative endeavour in at least the Broad Fields of Education in which Masters Degrees (Research) and Doctoral Degrees (Research) are currently, or planned to be, offered. ë Attach information about how the applicant plans to ensure that external and independent reviews/validation of research quality will be undertaken, and processes that will be used to action outcomes of such reviews/validation exercises. ë Attach evidence of the applicant s planned processes for research and research management, including processes for dealing with: z research codes of practice z appointment, development and performance review of research supervisors z ethics approval z research misconduct z ownership of intellectual property arising from research z minimum level of resources available to research students z research culture z research funding and grants z cross-disciplinary research. ë Attach evidence of the applicant s planned processes for examination of HDR candidates, including: z selection process for examiners z number of examiners, including proportion of external examiners z expected timeframes for examiners to complete examination of a thesis z decision making processes for examiner recommendations z appeal processes for examiner decisions. or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.3 include (but are not limited to): z performance data on student research outcomes, and evidence of the analysis of outcomes for all Broad Fields of Education z innovation and commercialisation policy and procedures, or similar, and evidence of implementation z approach to external research collaboration, such as industry partnerships z academic governance, management and resourcing of research, including a research code of practice. B3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B3.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.3 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B3.3 List of other evidence identified by the applicant In the table at subsection B3.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University College Provider Category Standard 3.3. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard 35

SUBSECTION B4: SYSTEMATIC ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE Standard 3.4 The higher education provider demonstrates the commitment of teachers, researchers, course designers and assessors to the systematic advancement and dissemination of knowledge. B4.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.4. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B4.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach an academic plan, teaching and learning plan, or similar, that outlines the applicants teaching and learning objectives and targets, including those relating to the systematic advancement and dissemination of knowledge. Include evidence of progress against the plan s objectives. ë Attach evidence that professional development, performance management and promotion processes for teachers, researchers, course designers and assessors develop a culture of research and scholarship that builds capacity to systematically create, advance and disseminate knowledge and that builds academic inquiry across disciplines. ë Attach evidence to demonstrate that the applicant has a skilled workforce of teaching and learning professionals committed to the systematic advancement and dissemination of knowledge. B4.3 List of other evidence identified by the applicant In the table at subsection B4.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University College Provider Category Standard 3.4. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.4 include (but are not limited to): z examples of cross-disciplinary research outcomes z library and other learning resources that contribute to the systematic advancement and dissemination of knowledge z evidence of support for free intellectual inquiry in learning, teaching and research, including the freedom for academic staff to make public comment on issues that lie within their expertise (such as media appearances and presentations at conferences) z examples of external research partnerships (such as those with industry) and outcomes. B4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B4.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.4 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 36

SUBSECTION B5: SCHOLARSHIP Standard 3.5 The higher education provider demonstrates sustained scholarship that informs teaching and learning in all fields in which courses of study are offered. B5.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.5. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B5.2 Required evidence (to be attached to the application) TEQSA requires evidence to demonstrate the applicant s sustained culture of scholarship across all Fields of Education in which the applicant is currently offering higher education courses of study. There are various definitions of scholarship. One that is well recognised is the Boyer Model of Scholarship which divides scholarship into four categories: discovery, integration, application, and teaching. (Source: Boyer, E. (1990) Scholarship Reconsidered: Priorities of the Professoriate). Scholarship is also defined in the former (2007) National Guidelines for Higher Education Approval Processes (the National Protocols ) as: z Demonstrating current knowledge and ongoing intellectual engagement in primary and allied disciplines, and their theoretical underpinnings z Keeping abreast of the literature and new research including by interaction with peers, and using that knowledge to inform learning and teaching z Encouraging students to be critical, creative thinkers and enhancing understanding of teaching through interaction with students z Engaging in professional practice that is appropriate to the discipline z Being informed about the literature of teaching and learning in the relevant disciplines and being committed to ongoing development of teaching practice, and z Focusing on the learning outcomes of students. The following evidence must be attached to the application: ë Attach a summary of the applicant s culture of scholarship, including how this is defined, developed and sustained, and how it informs teaching and learning in all fields of education in which courses of study are offered. ë Attach an extract from the academic plan, teaching and learning plan, or similar, that outlines the applicant s objectives and targets relating to developing and embedding a sustained culture of scholarship across its higher education operations. Include evidence of progress against these objectives and resources allocated to support achievement. ë Attach evidence of research outcomes relating to the scholarship of teaching and learning (for example, publications in peer reviewed journals), or that advance the discipline fields of the courses of study offered by the applicant. ë Attach evidence of how staff and students are supported to form part of a scholarly intellectual community for their discipline and to participate in the life of this community. ë Attach evidence of academic policy development, implementation and regular review in developing a culture of scholarship. ë Attach examples of induction and/or professional development programs covering teaching and learning pedagogy and scholarship, together with evidence of their effectiveness. B5.3 List of other evidence identified by the applicant In the table at subsection B5.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University College Provider Category Standard 3.5. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well 37

as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.5 include (but are not limited to): z performance data on the measurement of academic practices and evidence of the analysis of outcomes z examples of how research is integrated with teaching z peer support and/or review processes for teaching and scholarship z performance appraisal criteria relating to scholarship and pedagogy z evidence of staff membership of, engagement with, and/or recognition within professional associations/ bodies and other disciplinary communities z surveys of staff and students indicating agreement with statements concerning the existence of a scholarly community z incentives and support for academic staff to participate in professional development that is linked to the applicant s culture of scholarship, and evidence of participation rates. B5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B5.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.5 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 38

SUBSECTION B6: GOOD PRACTICES IN TEACHING AND LEARNING Standard 3.6 The higher education provider identifies and implements good practices in student teaching and learning, including those that have the potential for wider dissemination nationally. B6.1 Summary Statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.6. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.6 include (but are not limited to): z academic management processes that identify, further develop and implement good practices across the applicant s higher education operations, and evidence of their impact on student learning z examples of how good practices in teaching and learning have been disseminated nationally or internationally z attendance and presentations at conferences and contributions to higher education discussion forums with the purpose of sharing good practices nationally z outcomes of benchmarking activities that measure effectiveness and improvement and practices to disseminate outcomes. B6.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence of how good practice in teaching and learning is identified, developed, adapted and disseminated across the applicant s higher education operations. ë Attach examples of good practices in teaching and learning and their impact. B6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B6.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.6 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B6.3 List of other evidence identified by the provider In the table at subsection B.6.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University College Provider Category Standard 3.6. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. 39

SUBSECTION B7: STUDENT SERVICES AND SUPPORT Standard 3.7 The higher education provider offers an extensive range of student services, including student academic and learning support, and extensive resources for student support in all disciplines offered. B7.1 Summary Statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.7. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. ë Attach details of the process used to identify students who may be at risk of unsatisfactory academic progress, how an intervention strategy is activated for these students, and the support available. ë Attach data for the previous year showing the extent to which students have been identified as at risk of unsatisfactory academic progress, and evidence of their academic progress resulting from the intervention support provided. ë Attach student grievance procedures and evidence describing how students can access an independent third party should internal processes fail to resolve a grievance. ë Attach information about grievances/complaints lodged over the last year and evidence of action taken to address them. ë Attach evidence of the size, range and currency of library and learning resources (including electronic databases) available to students. Include information about: z acquiring and resourcing library and learning resources z adequacy of library and learning resources for the number of students enrolled with the applicant and the discipline areas taught z subscription details for e-collections z how library and learning resources support the applicant s approaches to research and scholarship. B7.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence of the range of services available to students, irrespective of their location and mode of study. For each of the services listed below, include evidence about how they are resourced, regularly reviewed, and tailored for different student cohorts and different discipline areas to ensure effectiveness: z student orientation and transition support z academic language and learning support z advocacy support z IT support z laboratory support (as applicable) z personal support services (such as counselling, health, welfare, accommodation and career services) z safety and security services. ë Attach data that evidences the quality, sufficiency and effectiveness of the range of student services offered, including the extent to which services are accessed by students, and how such services are monitored for quality and improvement. ë Attach, if applicable, evidence of the arrangements with third parties in cases where provision of student services is outsourced. B7.3 List of other evidence identified by the applicant In the table at subsection B7.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University College Provider Category Standard 3.7. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.7 include (but are not limited to): z effectiveness of established student grievance processes, supplemented by independent third party arrangements 40

z evidence of mechanisms for providing accurate, timely, adequate and openly accessible information to prospective and current students on all matters relating to their study (including in relation to admission criteria and assessment), and the regular evaluation and updating of this information z evidence for how students can access contact staff for responses to their queries z support for student associations. B7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B7.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.7 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 41

SUBSECTION B8: COMMUNITY ENGAGEMENT AND COMMITMENT TO SOCIAL RESPONSIBILITY Standard 3.8 The higher education provider demonstrates engagement with its local and regional communities and demonstrates a commitment to social responsibility in its activities. B8.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.8. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B8.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: B8.2.1 Applicants already active in community engagement/social responsibility: ë Attach the applicant s community engagement strategy, plan or similar that outlines the applicant s approach to engagement with its local and regional communities, and commitment to social responsibility. Include evidence of progress against planned objectives. ë Attach examples of community engagement projects, including details about outcomes achieved and how the projects align with the applicant s community engagement strategy, plan or similar. Include information about the applicant s processes for identifying, resourcing, monitoring, evaluating and sustaining community engagement projects for mutual benefit. ë Attach outcomes data used to evaluate and report on the effectiveness of the applicant s community engagement and social responsibility commitments. B8.2.2 Applicants not yet active in community engagement/social responsibility: ë Attach the applicant s community engagement strategy, plan or similar that outlines the applicant s planned approach to engagement with its local and regional communities, and commitment to social responsibility. ë Attach information about the applicant s planned community engagement projects, including details about expected outcomes and how the projects will align with the applicant s community engagement strategy, plan or similar. Include information about how the applicant will identify, resource, monitor, evaluate and sustain community engagement projects for mutual benefit. ë Attach evidence of planned approaches to evaluate and report on the effectiveness of the applicant s community engagement and social responsibility commitments. B8.3 List of other evidence identified by the applicant In the table at subsection B8.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University College Provider Category Standard 3.8. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.8 include (but are not limited to): z a listing of identified local and regional communities, and a statement of how mutually beneficial agendas and projects were developed and implemented z examples of how the applicant s commitment to social responsibility is reflected in its teaching and learning, scholarly and research activities z examples of how engagement with local and regional communities improves the quality of the applicant s teaching and learning, scholarship and research activities z evidence of the applicant s ability to respond to local and regional community needs and opportunities. 42

B8.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B8.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.8 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 43

SUBSECTION B9: QUALITY ASSURANCE, ACADEMIC STANDARDS AND ACADEMIC INTEGRITY Standard 3.9 The higher education provider has systematic, well developed internal processes for quality assurance and the maintenance of academic standards and academic integrity. B9.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.9. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the standard, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B9.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence to demonstrate systematic implementation of quality assurance frameworks and/or processes that are well developed and that focus on effective outcomes, impact measurement, outcomes evaluation, and improvement. ë Attach evidence of processes used to develop, review and assure consistent implementation of academic policies, and provide examples of effective implementation. ë Attach evidence of internal and external review and evaluation, and the use of outcomes to measure the effectiveness of review activities. ë Attach evidence of methods used to define, disseminate, uphold, monitor and review academic standards, and provide examples of effective implementation. ë Attach evidence of well developed and embedded approaches to upholding academic integrity across the applicant s higher education operations. ë Attach evidence of benchmarking and feedback processes used to assure academic quality, and provide examples of effective implementation. B.9.3 List of other evidence identified by the provider In the table at subsection B9.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University College Provider Category Standard 3.9. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets the Australian University College Provider Category Standard 3.9 include (but are not limited to): z evidence of the use of performance data for measurement of quality, and the use of quality assurance measures and indicators z external expertise used in quality assurance processes. B9.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B9.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University College Provider Category Standard 3.9 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 44

SUBSECTION B10: SUPPORT OF GOVERNMENT Standard 3.10 The higher education provider s application for registration has the support of the relevant Commonwealth, State or Territory government. B10.1 Summary statement The TEQSA Act requires TEQSA to consult with the relevant State or Territory Minister responsible for higher education during an assessment of any application for registration in a provider category that permits the use of the word university. Further details are included in the summary of process diagram that appears earlier in this Guide. The consultation process will be conducted by TEQSA and is separate from the requirement for the applicant to demonstrate support for its application from the relevant Commonwealth, state or territory government. TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University College Provider Category Standard 3.10. B10.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach signed and dated statements of support for the application from relevant Commonwealth, state or territory government Ministers with responsibility for higher education. ë Attach any other evidence demonstrating engagement with government or other stakeholders in relation to the application for example, signed and dated statements of support for the application. 45

SECTION C SUMMARY OF HOW THE APPLICANT MEETS THE PROVIDER REGISTRATION STANDARDS Section C of the Application Form should only be completed by applicants that are: z not currently registered by TEQSA as a higher education provider, AND z who are seeking registration in the Australian University College provider category. In this section, TEQSA requires evidence against relevant Provider Registration Standards not covered in previous sections of the Application Form. SUBSECTION C1: PROVIDER STANDING Section 1 of the Provider Registration Standards comprises six standards, as contained at page 2 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. C1.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets Section 1 of the Provider Registration Standards. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the section, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the section (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. C1.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach, if the applicant is part of a corporate group, a chart showing company relationships. (Note that a corporate group can include consortia or any other configuration in which a principal/agent relationship exists.) ë Attach, if the applicant entity is foreign owned, certified copies of the relevant foreign ownership documentation, including certification of the incorporation in the overseas jurisdiction. ë Attach details of each person or entity that owns five per cent or more of issued capital of the entity applying for registration in the category of Australian University College, including details of each entity or person s percentage share. ë Attach, for each person owning five per cent or more of the applicant entity s issued capital, a completed Fit and Proper Person Requirements Declaration (see Attachment 1 of the Application Form). ë Attach, for each entity owning five per cent or more of the applicant entity s issued capital, evidence that correlates with the applicable entity type outlined in the table at section A1.2.1 of this Guide. ë Attach an organisational chart for the applicant. The organisational chart must show the organisational structure, hierarchy of key personnel (including names of current incumbents or date of proposed occupancy of the position), and reporting relationships. ë Attach a copy of the applicant s constitution, memorandum, governing legislation, articles of association or similar that demonstrates that education is a principal purpose of the applicant. ë Attach, if applicable, information about any previous or current applications for approval to provide education or related services lodged by the applicant with another registration body (whether in Australia or overseas), including the name of the registration body to which the application was made, the application outcome, and any conditions or sanctions placed on approval. If any application was not approved, include reasons for the nonapproval. ë Attach information about the Chair and members and/or directors of the governing body covering: z full name z purpose of membership on the governing body (for example, provision of financial expertise) z background and expertise relevant to their function as a member of the governing body (attach a CV if preferred) z contact details (including position, organisation, telephone and email) z term of office on the governing body (duration of appointment, and month and year of expiry) z status as an owner/director, or financial interest held in the applicant z confirmation that a Fit and Proper Person Declaration is attached (see Attachment 1 of the Application Form) z nature of their relationship with the applicant: current employee, former employee; shareholder (and per 46

cent of issued capital held); material service provider; personal relationship with any existing member and type of relationship; or none. ë Attach, for the Chair and each member and/or director of the governing body, a completed Fit and Proper Person Requirements Declaration (see Attachment 1 of the Application Form). ë Attach, for each member and/or director of the governing body, certified copies of testamurs relating to the highest level qualification held, or the qualification that is most relevant to their duties on the governing body. ë Attach a copy of the most recent minutes of the governing body s meeting, including details of the venue of the meeting, participants, meeting duration and any resolutions made. ë Attach for each person falling with the definition of key personnel contained in the Glossary of Terms, the following information: z full name z position title z a brief description of individual managerial responsibilities z a list of qualifications z a summary of professional experience z term of appointment, if any person is not engaged on a continuing employment contract, and z confirmation that a completed Fit and Proper Persons Requirements Declaration is attached (see Attachment 1 of the Application Form). ë Attach a completed Fit and Proper Persons Requirements Declaration for each person falling within the definition of key personnel, as defined in the Glossary of Terms. A Fit and Proper Persons Requirements Declaration form is at Attachment 1 of the Application Form. ë Attach the Compliance Declaration (at Attachment 2 of the Application Form), signed by the Chief Executive Officer or other authorised person, confirming that the applicant will take necessary measures to ensure compliance with applicable Commonwealth, state or territory laws, and with regulatory requirements. (Examples of relevant laws and regulatory requirements include, but are not limited to: relevant legislation pertaining to corporations; financial management; anti-money laundering; workplace relations; equal employment opportunity and human rights; trade practices; occupational health and safety; for those entities delivering educational services to students from overseas, educational services for overseas students; and the Higher Education Support Act 2003. For entities delivering vocational education and training, applicants must comply with the National Vocational Education and Training Regulator Act 2011 and associated standards.) ë Attach a completed questionnaire (at Attachment 3 of the Application Form) in relation to each entity or person owning five per cent or more of the entity applying for registration, and any entity or person connected with the applicant entity. ë Attach details about the circumstances, if any of the following has ever occurred: z the applicant entity has been the subject of a winding up order z the applicant entity has had an external administrator appointed z the applicant entity has had a receiver appointed over the whole, or a significant part of, the entity s property. C1.3 List of other evidence identified by the provider In the table at subsection C1.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Section 1 of the Provider Registration Standards. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets Section 1 of the Provider Registration Standards include (but are not limited to): z certified copies of any relevant foreign ownership documentation, including certification of incorporation in an overseas jurisdiction z documentation evidencing Australian based management and governance of higher education operations z in cases where the applicant s legal entity is applying in its capacity as a trustee of a Trust, a copy of the Trust Deed outlining details of Trust arrangements z audit reports by accrediting or registration bodies issued in the past five years that demonstrate the applicant s higher education delivery is of an acceptable level of quality. 47

C1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection C1.4 of the Application Form, provide cross-references to any evidence relevant to Section 1 of the Provider Registration Standards that has been supplied elsewhere in the application or in any separate application that has been submitted to TEQSA at the same time. 48

SUBSECTION C2: FINANCIAL VIABILITY AND SUSTAINABILITY Section 2 of the Provider Registration Standards comprises five standards, as contained at pages 2 and 3 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. C2.1 Summary statement TEQSA requires a summary of reasons and evidence to demonstrates how the applicant meets Section 2 of the Provider Registration Standards. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the section, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the section (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. C2.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach audited financial statements for the three most recent complete financial years, presented and independently audited by a qualified auditor in compliance with Australian Accounting Standards, and include a declaration of such compliance. If the most recent of these statements is more than six months old, then an interim financial statement must be attached. These financial statements should: z be accrual based z be based on Australian Accounting Standards (made by the Australian Accounting Standards Board under section 334 of the Corporations Act 2001) and other mandatory reporting requirements z include a Statement of Financial Performance, Statement of Financial Position, Statement of Cash Flows and notes to the accounts. ë Attach evidence of any start-up and/or contingency funding available to the applicant for its proposed Australian University College higher education operations. ë Attach, as applicable, information about any financial relationships and/or responsibilities that the applicant has with any other entity, or entities, together with details of the extent and frequency of any financial obligations arising from such relationships and/or responsibilities. ë Attach, if the applicant has a parent entity, or entities, or is part of a corporate group, financial statements for each parent entity for the three most recent complete financial years (or for all years available if operating for less than three financial years), presented and independently audited by a qualified auditor in compliance with Australian Accounting Standards, and include a declaration of such compliance. ë Attach a Projected Income and Expenditure Statement that includes figures from the latest year and projections for at least three, and up to five, years. The statement must include data according to the categories listed below which are relevant to the applicant. Income by: z higher education teaching and learning sources (for example: Commonwealth Grant Scheme; HECS; RTS grants; Commonwealth scholarships and other grants, excluding infrastructure related) z higher education student fees and charges (for example: Australian Fee Paying; International Onshore; International Offshore; and other fees and charges) z other higher education related income (such as third party payments) z VET activities (for example: government grants, excluding infrastructure related grants; VET students both government supported and fee paying; other fees and charges) z research related income z donations and bequests z commercial and other income z infrastructure-related grants/income. Operating expenditure by: z direct higher education operating costs (academic salaries and oncosts; support staff salaries and oncosts; library and learning resource materials costs; other direct costs) z direct VET operating costs z direct other non-higher education, non-vet operating costs z indirect operating costs (information technology; property related charges such as rental and outgoings, repairs and maintenance; marketing, promotion and student recruitment costs; and other indirect costs such as legal and audit expenses) z borrowing costs z depreciation and amortisation z impairment of assets (excluding available for sale financial assets) z income tax expense/(benefit). 49

Gross margin total income less total direct operating costs. Net margin total income less total operating expenditure. Net margin excluding infrastructure grants. A recommended template for use as a basis for the Projected Income and Expenditure Statement is at Attachment 4 of the Application Form. ë Attach a Projected Cashflow Statement for at least three, and up to five, years. The statement must include data according to the categories listed below which are relevant to the applicant: z cashflows from operating activities (Australian government grants; state and local government grants; HECS-HELP and other student loan schemes; receipts of student and other fee-for-serve activities; dividends received; interest received; other inflows; payments to employees; payments to suppliers inclusive of GST; interest and other cost of finance paid; GST recovered/ (paid); and other outflows) z net cash inflow (outflow) from operating activities z cashflows from investing activities (proceeds from sale of property, plant and equipment; proceeds from sale of other financial assets; other inflows; payment for property, plant and equipment; payment for other financial assets; and payment for intangible assets) z net cash inflow/(outflow) from investing activities z cashflows from financing activities (proceeds from borrowings; other inflows; loans granted; repayment of borrowings; repayment of finance leases). A recommended template for use as a basis for the Projected Cashflow Statement is at Attachment 5 of the Application Form. ë Attach projected student number data for at least three, and up to five, years by type, proposed AQF level, and Broad Field of Education, for the courses of study that the applicant intends to deliver if registered as an Australian University College. A recommended template for use as a basis for the projected student number data is at Attachment 6 of the Application Form. ë Attach evidence of the applicant s main student marketing and recruitment strategies to achieve its financial, quality and student profile targets. ë Attach evidence of the applicant s processes to ensure maintenance of prudent financial controls that support compliance with legal requirements and detection and prevention of any fraud or mismanagement within its higher education operations. ë Attach business continuity plans, risk management plans or similar that detail strategies for disaster recovery. ë Attach evidence of the applicant s public liability and professional indemnity insurance, including details of insurer, policy number, class of insurance, period of cover and amount of limit. ë Attach evidence of processes for ensuring that students, irrespective of their study location or study mode, are not disadvantaged should any course of study offered by the applicant be discontinued. Evidence should be provided to demonstrate that, in the face of the closure of a course of study, transition opportunities will be provided to all affected students so that they can: z complete an equivalent course of study, or complete a course of study that meets the course-related objectives as far as possible, either with the applicant or with another higher education provider at no financial disadvantage, or z be refunded any fees already paid relating to a course of study. Note that under the provisions of the Higher Education Support Act 2003 (HESA) and the associated Higher Education Provider Guidelines, providers (other than a Table A provider or an Exempt Provider ) are required to provide a tuition assurance arrangement for persons, other than overseas students (as defined by the ESOS Act), who are enrolled in higher education courses it offers. Further details are available at: http://www.deewr. gov.au/highereducation/programs/quality/heps/ Documents/StatementTA.pdf. C2.3 List of other evidence identified by the provider In the table at subsection C2.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Section 2 of the Provider Registration Standards. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets Section 2 of the Provider Registration Standards include (but are not limited to): 50

z profile of senior staff with responsibilities for financial management and advice across the applicant s higher education operations z effectiveness of current student marketing and recruitment processes z disaster recovery plans, policies, procedures or similar z examples of effectiveness of processes to detect fraud and mismanagement within the applicant s higher education operations. C2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection C2.4 of the Application Form, provide cross-references to any evidence relevant to Section 2 of the Provider Registration Standards that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 51

SUBSECTION C3: CORPORATE AND ACADEMIC GOVERNANCE Section 3 of the Provider Registration Standards comprises eight standards, as contained at pages 3 and 4 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. C3.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets Section 3 of the Provider Registration Standards. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the section, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the section (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. C3.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach the terms of reference or charter and composition of the applicant s governing body that has overall governance responsibility and oversight of the applicant s higher education operations. ë Attach a copy of the applicant s strategic plan, including key performance indicators, as approved by the governing body. ë Attach a risk management plan or framework, risk register or similar that evidences the applicant s risk monitoring and mitigation processes. ë Attach any current financial, legal, academic and/or managerial delegation schedules and/or registers, together with evidence of authorisation by the governing body. ë Attach details of any external advisors to the governing body (if applicable). Information must include: z full name of external advisor z purpose for which external advice is, or will be, provided (for example, discipline expertise) z background and relevant expertise, z current contact details (position, organisation, telephone and email address) z the frequency of engagement, and z the process for engaging each external advisor. C3.3 List of other evidence identified by the provider In the table at subsection C3.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Section 3 of the Provider Registration Standards. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets Section 3 of the Provider Registration Standards include (but are not limited to): z reports from internal or external reviews of governance arrangements z processes for reviewing the governing body and senior management, and review reports from internal and external reviews z governance training for members of the governing body z multi-campus governance and management arrangements, as applicable z Audit and Risk Management Committee Charter or similar z processes used to develop and disseminate the applicant s strategic plan z review processes for the strategic plan and its key performance indicators z examples demonstrating how the strategic plan and associated plans (such as teaching and learning plan) are used to guide decision making z review processes for delegation schedules z policies or similar for disaster recovery. 52

C3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection C3.4 of the Application Form, provide cross-references to any evidence relevant to Section 3 of the Provider Registration Standards that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 53

SUBSECTION C4: PRIMACY OF ACADEMIC QUALITY AND INTEGRITY Section 4 of the Provider Registration Standards comprises five standards, as contained at pages 4 and 5 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. C4.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets Section 4 of the Provider Registration Standards. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the section, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the section (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. C4.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach details of the approach to student assessment (including for those who have special needs) and the approach to upholding the integrity of assessment, such as assessment and moderation policies, procedures, guidelines or similar. ë Attach evidence of embedding graduate attributes across the curriculum, including cultivating in students critical and independent thought, and the capacity for learning throughout life. ë Attach evidence of the applicant s approach to ensuring the quality and integrity of admission processes. ë Attach evidence of the applicant s approach to benchmarking across its higher education operations, including information about: z each of the applicant s benchmarking partners z the benchmarking process used z processes and data sets that are the subject of benchmarking z frequency with which benchmarking is undertaken z how benchmarking outcomes are reported and used for improvement across teaching, student learning outcomes, and research activities. ë Attach evidence of the applicant s approach to collecting regular, valid and reliable feedback from internal and external stakeholders (including students, staff, graduates and employers of graduates), and provide evidence of how such feedback is acted upon to improve the applicant s higher education operations. ë Attach evidence to demonstrate how the applicant will ensure that any research undertaken meets appropriate codes of conduct, safety and ethics clearance processes, consistent with legislative or other regulatory requirements and national guidelines. ë Attach a list of any contracts or agreements with any third party, agent and/or partner for the delivery of any higher education service (as defined in the Glossary of Terms) that is associated with any course of study that is, or will be, offered by the applicant. ë Attach policies, procedures, guidelines or similar relating to quality assurance and management of relationships with third parties, partners or agents, including in relation to: z selection and due diligence processes in selecting third parties, partners or agents, including compliance with any legislation/regulations applicable in each country of delivery z service level agreements, including roles and responsibilities of parties z relationship management, including monitoring and review of performance of agreed responsibilities z admission and support of students z academic staff selection, induction and professional development z marketing, recruitment and information provision to students prior to offer of place z teaching and learning facilities z student learning support z student grievance and complaints management z copyright and intellectual property (for example, relating to course materials) z research supervision (as applicable). ë Attach evidence of processes to ensure that there is equivalence between identified learning outcomes and student support in any course of study involving third party, agent or partner delivery, and the same or cognate course of study delivered by the applicant. 54

C4.3 List of other evidence identified by the applicant In the table at subsection C4.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Section 4 of the Provider Registration Standards. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. C4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection C4.4 of the Application Form, provide cross-references to any evidence relevant to Section 4 of the Provider Registration Standards that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. Examples of evidence that may demonstrate that the applicant meets Section 4 of the Provider Registration Standards include (but are not limited to): z performance data (such as student progress rates, completion rates, student attrition, and grade distributions) which compares any course of study involving third party, agent or partner delivery with the same course of study delivered solely by the applicant z evidence of analysis of assessment outcomes z review and monitoring processes and evidence of implementation for the teaching and learning plan and for the research plan (as applicable), and outcomes of benchmarking exercises and their use for improving teaching, student learning outcomes and research activities z copies of policies, procedures or similar in relation to: student admission; credit transfer and exemptions; examinations; academic appeals; conferring academic qualifications; student graduation; and, if applicable, multi-campus governance and management z processes to protect the integrity of any award granted by the applicant in cases where double, multiple, combined and/or joint awards are offered (including in conjunction with another entity) z ethics committee terms of reference, recent minutes and evidence of processes for research clearance, dealing with research misconduct, and ethics approval z commercialisation procedures or similar. 55

SUBSECTION C5: MANAGEMENT AND HUMAN RESOURCES Section 5 of the Provider Registration Standards comprises six standards, as contained at page 5 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. C5.1 Summary statement TEQSA requires a summary of reasons and evidence to demonstrate how the applicant meets Section 5 of the Provider Registration Standards. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the section, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the section (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. C5.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach a copy of the applicant s staff profile, workforce plan or similar to demonstrate that the numbers, qualifications, and experience of staff are, or will be, sufficient to provide academic leadership and to manage its higher education operations. The evidence should cover: z key workforce challenges (internal and external) z strategies to address these challenges in order to ensure the required mix of skills and capabilities necessary to meet the applicant s higher education objectives. ë Attach evidence of the applicant s approach to professional development of staff, including details of budget allocations and evidence that the budget allocation is adequate to support the applicant s higher education operations. ë Attach evidence of the processes by which the following functions are managed by the applicant for continuing, contract (or fixed-term) and casual staff: z merit-based staff selection, including verifying bona fides of the qualifications of each staff member z merit-based staff promotion z workforce planning (including succession planning) z workload management z staff induction z staff performance review z staff grievance procedures. ë Attach evidence that demonstrates how the applicant systematically manages records relating to its higher education operations, including how adequate records are maintained and archived with appropriate confidentiality and security. ë Attach evidence of the applicant s enterprise IT systems that support its higher education operations, including those relating to student management, human resources and financial management. Information for each system must include: z a summary of functions z capital expenditure invested, and estimated annual operating costs z key management reports generated to support management decision making and to support monitoring, assessment and improvement of performance z as applicable, any outsourcing agreements or contracts where the system is outsourced to an external provider. ë Attach evidence of the applicant s performance indicators that will be used for comparing its performance with other higher education providers in relation to teaching, student learning outcomes, graduate outcomes and research, and provide information about the processes to be used for comparing and benchmarking its performance. C5.3 List of other evidence identified by the applicant In the table at subsection C5.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Section 5 of the Provider Registration Standards. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. 56

Examples of evidence that may demonstrate that the applicant meets Section 5 of the Provider Registration Standards include (but are not limited to): z examples of use of student and stakeholder feedback to improve higher education operations z details of academic staff qualifications z collective or individual staff agreements z academic leadership z examples of professional development outcomes. C5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection C5.4 of the Application Form, provide cross-references to any evidence relevant to Section 5 of the Provider Registration Standards that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 57

SUBSECTION C6: RESPONSIBILITIES TO STUDENTS Section 6 of the Provider Registration Standards comprises eight standards, as contained at pages 5, 6 and 7 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/ F2012L00003/Download. C6.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets Section 6 of the Provider Registration Standards. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the section, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the section (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. C6.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence demonstrating how students will be informed of their relationship with the applicant, their rights and obligations, and the obligations of the applicant to them, including any contractual arrangements. ë Attach evidence that shows how information about all charges, conditions, refunds and costs involved in studying with the applicant (including course specific costs and tuition assurance arrangements) will be readily accessible to students. ë Attach evidence that shows how current, accurate, adequate and openly accessible information will be made available to prospective and enrolled students on all matters relating to their higher education studies. Ensure that the evidence provided covers all matters required by Provider Registration Standard 6.3. ë Attach evidence that shows how an inclusive and safe culture is promoted across the applicant s higher education operations, including evidence of safety and security arrangements for all locations at which courses of study will be offered. C6.3 List of other evidence identified by the applicant In the table at subsection C6.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Section 6 of the Provider Registration Standards. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets Section 6 of the Provider Registration Standards include (but are not limited to): z processes that use grievance data for improvement across the applicant s higher education operations z how grievance procedures will be made available to students in cases where a course of study is managed or delivered in whole or in part by a third party, agent and/or partner arrangement z student consultation processes and outcomes z safety plans, occupational health and safety plans, policies or procedures z evacuation and emergency procedures z student access to transport after hours, lighting arrangements, and access to security assistance. C6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection C6.4 of the Application Form, provide cross-references to any evidence relevant to Section 6 of the Provider Registration Standards that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 58

SUBSECTION C7: PHYSICAL AND ELECTRONIC RESOURCES AND INFRASTRUCTURE Section 7 of the Provider Registration Standards comprises four standards, as contained at page 7 of the Higher Education Standards Framework, available at: http:// www.comlaw.gov.au/details/f2012l00003/ Download. C7.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets Section 7 of the Provider Registration Standards. The summary must include information about: z the applicant s approaches, effective implementation and outcomes relevant to the section, building on the applicant s current operations where possible z any matters of significant risk identified in relation to meeting the section (whether relating to significant institution-wide risks across the applicant s higher education operations or proposed operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. C7.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach the applicant s overall master plan or similar covering physical teaching and learning spaces and facilities at all higher education sites. ë Attach evidence of the applicant s processes for: z capital planning, including how this accounts for student load projections and teaching and learning and research arrangements z capital planning approvals. ë Attach information about the projected gross floor space (square metres) for every site from which higher education operations will be conducted for years one to three (and up to year five) of the applicant s operation, covering the following functions: z teaching and learning (such as: lecture theatres; tutorial spaces; teaching laboratories; classrooms; study areas; rooms for staff and student academic consultations; performance spaces; and other spaces used for teaching and learning purposes) z academic staff office accommodation z support functions (such as staff accommodation, student services areas, administrative areas) z physical library holdings z research student usage z student amenities and recreational areas z primary use for special technical and research facilities and laboratories z allocation of space by Broad Field of Education for the course or courses of study that the applicant intends to deliver. Where applicants are delivering any educational services currently, include information about existing teaching and learning spaces. ë Attach any other information that evidences the adequacy of the physical teaching and learning spaces available for higher education operations. (Other information may include: capital or building and infrastructure plans; building contracts; significant lease agreements; facilities management plans; maintenance schedules and budgets; and space allocation guidelines.) ë Attach evidence of processes used for planning, maintaining, and updating physical teaching and learning spaces and facilities to ensure that they are safe, well maintained and adequate for the nature of courses of study to be delivered, and the student load projections. ë Attach evidence of the range of laboratories and technical facilities available to support teaching and learning and research operations, and the processes to maintain and update these facilities. Where the applicant delivers any course of study in science, technology, and/ or medical or health related fields, include the number of laboratory places available in specialised laboratories suited to students in these disciplines. ë Attach evidence of processes used to plan, maintain, update and provide student support (real time, asynchronous, 24x7) for: z educational, electronic and mobile technologies and infrastructure for teaching and learning (such as: learning management systems; virtual learning environments; lecture recording systems; social networking tools; online communication systems; virtual laboratories; and other e-resources and tools) z electronic and educational facilities (such as wireless learning spaces and/or computer laboratories). ë Attach, as applicable, copies of any outsourcing licenses and/or agreements with external providers for electronic teaching and learning infrastructure and/or facilities. ë Attach a projected Capital Expenditure Statement that includes projections for at least three (and up to five) years, and data, for the following categories: 59

z for each building project ʱʱ gross floor area (square metres) ʱʱ a short descriptor ʱʱ ʱʱ projected expenditure from committed funding available projected expenditure from anticipated/speculative funding yet to be obtained z building maintenance ʱʱ gross floor area (square metres) ʱʱ planned maintenance ʱʱ backlog maintenance (where applicable) z IT projects ʱʱ short descriptor of each project. A recommended template for use as a basis for the Projected Capital Expenditure Statement is at Attachment 7 of the Application Form. ë Attach information about the office spaces available for staff (academic staff and support staff ) at each higher education site, including space for casual staff. Information must include a summary of processes for planning, maintaining and updating office spaces to ensure that they are safe, well maintained and adequate for the scope and scale of the applicant s higher education operations. ë Attach evidence of the processes used to allocate office accommodation and to provide appropriate facilities (such as desks, computers, printers, photocopying) to research students. ë Attach, as applicable, copies of any outsourcing contracts and/or agreements with external providers for library and/or learning resources, and evidence of processes to review outsourcing arrangements and to ensure ongoing improvements. ë Attach evidence of physical or virtual amenities and facilities available for student use at each site where higher education activities will be undertaken (such as meeting spaces and recreational areas), as well as evidence of how students will be made aware of these amenities and facilities. ë Attach evidence that shows how the applicant s IT environment will adequately support its higher education operations. ë Attach information about the applicant s website presence and management, including: z a list of the planned website url or urls that will apply to the applicant s higher education operations z any other url that will convey information about the applicant s higher education operations provided through a third party, agent and/or partner, and/or at a site outside Australia z plans for developing the website and a status summary z processes to ensure that the website content relating to higher education operations is kept current and accurate and that students and staff can readily access website information. C7.3 List of other evidence identified by the applicant In the table at subsection C7.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Section 7 of the Provider Registration Standards. The applicant has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the applicant meets Section 7 of the Provider Registration Standards include (but are not limited to): z mechanisms to ensure accessibility and usability of, and appropriate integration between, key enterprise administrative systems, such as the student management system and the finance system. C7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection C7.4 of the Application Form, provide cross-references to any evidence relevant to Section 7 of the Provider Registration Standards that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 60

PART 2: APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY Introduction The Application Form Application for Change of Provider Category to Australian University ( the Application Form ) is for: z an existing higher education provider registered in the category of Australian University College and seeking to change its provider category to that of Australian University z a provider authorised for at least the last five years to self-accredit at least 85 per cent of its total courses of study, including Masters Degrees (Research) and Doctoral Degrees (Research) in at least three of the Broad Fields of Education (as defined by ASCED) and seeking to change its provider category to that of Australian University. Information to assist providers to complete the Application Form is included in sections A and B of this part of the Guide. The section numbers correspond with those in the Application Form. Registration in the Australian University category gives a provider authority and thus significant responsibility for assuring the quality of its higher education operations and compliance with the Threshold Standards, in particular, in relation to intellectual inquiry, developing and transmitting knowledge, and academic freedom. If TEQSA approves registration in the Australian University category, and the provider meets the requirements of section 45(1) of the TEQSA Act, the provider will have self-accrediting authority for each course of study leading to a higher education award that it offers or confers. In considering applications, TEQSA will seek confirmation of the extent to which the provider: z can demonstrate compliance with the Australian University Provider Category Standards z can evidence strong academic leadership in its governance and across discipline areas z has implemented its plans to build its capability and capacity. Areas TEQSA will consider include: z evidence of a well developed research capability leading to the creation of new knowledge and original creative endeavour in at least three Broad Fields of Education in which Masters Degrees (Research) and Doctoral Degrees (Research) are offered z clear outcomes evidencing the provider s commitment to systematic advancement and dissemination of knowledge z evidence of a sustained culture of scholarship that informs teaching and learning across all disciplines in which higher education courses of study are offered z systematic and mature internal processes for quality assurance and the maintenance of academic standards. Structure of the Application Form The Application Form Application for Change of Provider Category to Australian University has two main sections: z Section A Provider details and rationale for applying z Section B Summary of how the provider meets the Australian University Provider Category Standards. Section A of the Application Form requires the provider to respond to specific questions relating to: z provider details, including the registered business names under which the provider intends to conduct its higher education operations if registered in the category of Australian University z details of any other applications submitted to TEQSA at the same time as this application z a contact officer for TEQSA to liaise with during the application assessment process z the rationale for applying for registration in the category of Australian University, including a high level summary of how the provider will meet the ten standards within Section 2 of the Provider Category Standards, and how this application relates to the provider s strategic objectives and mission. Section B of the Application Form requires: z a summary statement outlining how the provider meets the standards noted in that section. As a guide, this statement should be around 2,500 words, noting that the required evidence and other evidence that the provider chooses to submit with the application will set out details. Each summary 61

statement should include information relevant to the applicable provisions of the Provider Category Standards in relation to: ʱʱ ʱʱ the applicant s approaches, effective implementation and outcomes relevant to the standard any matters of significant risk identified in relation to the relevant Provider Category Standard and its components (whether relating to significant institution-wide risksacross the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. z a list of evidence TEQSA requires to be attached to the Application Form z a list of other evidence that demonstrates that the provider meets the relevant Provider Category Standards referred to in that section of the Application Form. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA; or b. include a reference to the evidence in the table in the Application Form so it can be made accessible to TEQSA on request during the assessment process Examples of types of evidence are contained in this Application Guide. These are provided as examples only, are not definitive, not listed in any order of priority, and not exclusive. They are intended to aid each provider in selecting sufficient evidence to show that it has appropriate arrangements in place and is achieving outcomes that give appropriate assurance to TEQSA that it meets the relevant Provider Category Standard. z a table in which to cross-reference evidence or information supplied in other sections of the Application Form, or in any separate application submitted to TEQSA at the same time as this application. 62

SECTION A PROVIDER DETAILS AND RATIONALE FOR APPLYING A1.1 Name of legal entity applying Providers must note the legal name of the entity applying for registration in the category of Australian University. A1.2 TEQSA Identification Number Insert the Provider s TEQSA Identification Number in the Application Form. The TEQSA Identification Number is available by contacting the relevant Provider Case Manager directly, by email to: enquiries@teqsa.gov.au, or by telephoning 1300 739 585. A1.5 Contact Officer During the preliminary assessment or the substantive assessment stages, the provider may be asked to clarify aspects of the application and/or to provide additional information. Providers must provide to TEQSA the name of the person who has the authority to liaise directly with TEQSA throughout the application process. The Contact Officer must be familiar with the evidence submitted, and must be deemed to have an appropriate level of skill, knowledge and expertise necessary to provide additional, timely and accurate information and/or clarification as requested by TEQSA. A1.3 Registered business (trading) name or names List the registered business name or names the provider is, or will be, using for the applicant s higher education operations if registered by TEQSA in the category of Australian University. A1.4 Other concurrent applications Indicate whether the provider is submitting any other applications to TEQSA at the same time as submitting an application for registration in the category of Australian University. For example, providers may submit at the same time an application for renewal of registration, or CRICOS re-registration, under the Education Services for Overseas Students Act 2000. If this is the case, list in section A1.4 of the Application Form any other application submitted at the same time. There may be some sections in the Application Form that require the same information as that requested in other applications. TEQSA only requires the information to be submitted once. Please cross-reference such information accordingly. A1.6 Rationale for seeking registration in the category of Australian University TEQSA requires an overall rationale for applying for registration in the category of Australian University, including a high level summary of how the provider meets the ten standards in Section 2 of the Provider Category Standards. Section 2 of the Provider Category Standards is at pages 9 and 10 of the Higher Education Standards Framework, available at: http://www.comlaw. gov.au/details/f2012l00003/dowload. The summary should include details of how, over a minimum period of the past five years, the provider has increased capacity and capability across its higher education operations to enable it to meet the Australian University Provider Category Standards, in line with its strategic objectives and mission. (Note that following sections of the Application Form require applicants to address the requirements of specific standards. There is no need to reference individual standards in the rationale.) 63

SECTION B SUMMARY OF HOW THE PROVIDER MEETS THE AUSTRALIAN UNIVERSITY PROVIDER CATEGORY STANDARDS Section B of the Application Form requires evidence against each of the Australian University Provider Category Standards 2.1 to 2.10. Each of the ten standards is detailed in this Guide. The standards are also contained at pages 9 and 10 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/ Details/F2012L00003/Download. SUBSECTION B1: SELF-ACCREDITING STATUS AND COURSES OF STUDY THAT MEET THE QUALIFICATION STANDARDS Standard 2.1 The higher education provider self-accredits and delivers undergraduate and postgraduate courses of study that meet the Qualification Standards across a range of broad fields of study (including Masters Degrees (Research) and Doctoral Degrees (Research) in at least three of the broad fields of study it offers). Standard 2.2 The higher education provider has been authorised for at least the last five years to self-accredit at least 85% of its total courses of study, including Masters Degrees (Research) and Doctoral Degrees (Research) in at least three of the broad fields of study. B1.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University Provider Category Standards 2.1 and 2.2. The summary must include information about: z the provider s approaches, effective implementation and outcomes, relevant to the standards z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B1.2 Required evidence (to be attached to the application) TEQSA requires that the following evidence is attached to the Application Form: ë Attach a list of the undergraduate and postgraduate courses of study offered and self-accredited by the provider across a range of Broad Fields of Education, including: z Masters Degrees (Research) in at least three of the Broad Fields of Education it offers z Doctoral Degrees (Research) in at least three of the Broad Fields of Education it offers. Include, for each course of study, the applicable Broad Field of Education code; the AQF award level; and the date which the course was first offered by the provider. TEQSA anticipates that undergraduate and postgraduate courses of study would typically be offered in the same Field of Education for example, in the discipline of Business a Bachelor of Business, or a Bachelor of Commerce, and a Master of Business Administration. Note that Broad Field of Education is defined by an ASCED two digit Broad Field of Education code. ASCED is a classification of courses, specialisations, and units of study with the same or similar vocational emphasis or principal subject matter in the course of study. The ASCED codes can be accessed at: http://www.ausstats. abs.gov.au/ausstats/free.nsf/0/2d08d604cc032093ca 256AAF0080766F/$File/12720_2001.pdf. ë Attach evidence of how the provider meets the Qualifications Standards across all Broad Fields of Education in which higher education courses of study are offered, including: z policies, procedures, guidelines or similar that outline the provider s approach to credit transfer, articulation and recognition of prior learning (RPL) z a plan or similar outlining how the provider will achieve, by 1 January 2015, full compliance with the Australian Qualification Framework (AQF) requirements within the Qualification Standards 4 z mechanisms used to authenticate certification documentation for the purposes of preventing fraudulent use 4 The AQF Implementation Arrangements require that all requirements of the AQF be met from 1 January 2015 (refer to page 101 of the Australian Qualifications Framework, July 2011, available at: http://www.aqf.edu.au/) 64

z processes to ensure that students will be able to access a statement of attainment or record of results when they have completed one or more subjects toward an award qualification z examples of certification documentation for the higher education awards to be offered if registered in the category of Australian University. The Qualification Standards are listed on pages 20 to 24 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/f2012l00003/ Download. ë Attach performance data for the previous five years that demonstrates quality and effectiveness across the provider s undergraduate and postgraduate higher education courses of study, and that demonstrates performance trends over time. ë Attach confirmed minutes of meetings for the previous 12 month period of the Academic Board or similar body that has responsibility for setting academic policy and/ or oversight of academic standards and effective quality assurance arrangements. ë Attach reports from external or internal reviews of the academic governance arrangements undertaken over the previous five years, including reviews of the Academic Board or similar body and the impact of these reviews. If there are more than three reports, attach only the most recent three reports. ë Attach evidence of changes made to ensure ongoing effectiveness of the provider s academic governance arrangements over the previous five years, including evidence that the depth, breadth and currency of discipline expertise within academic governance processes has been enhanced. ë Attach evidence of mature processes for course development, course approval, course monitoring, course review, and course discontinuance, including: z how data and feedback is used for decision making and improvement, and z how each process has been refined and enhanced for effectiveness over the past five years. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standards 2.1 and 2.2 include (but are not limited to): z reports provided to the academic board and governing body on the quality and currency of higher education courses of study z student, graduate and other stakeholder feedback on the quality of the provider s courses of study z approaches to benchmarking against relevant external standards and university practices and how this contributes to the ongoing quality assurance and effectiveness of a provider s self-accrediting authority z effectiveness of academic governance and management of self-accrediting authority, including external or internal reviews of these governance and management arrangements z evidence of academic leadership across each Field of Education in which the provider delivers courses of study. B1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B1.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standards 2.1 and 2.2 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B1.3 List of other evidence identified by the provider In the table at subsection B1.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets the Australian University Provider Category Standards 2.1 and 2.2. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. 65

SUBSECTION B2: RESEARCH Standard 2.3 The higher education provider undertakes research that leads to the creation of new knowledge and original creative endeavour at least in those broad fields of study in which Masters Degrees (Research) and Doctoral Degrees (Research) are offered. B2.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University Provider Category Standard 2.3. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z the continued sustainability of research activities z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B2.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach the provider s current research plan or similar, as well as its immediate past research plan or similar, together with evidence of progress and outcomes against each of the plan s objectives. ë Attach evidence of the budget allocations over the past five years to support research activities, and planned budget allocations for research over the next three years. ë Attach evidence of how the provider s current research effort leads to the creation of new knowledge and original creative endeavour in at least the Broad Fields of Education in which Masters Degrees (Research) and Doctoral Degrees (Research) are offered. ë Attach evidence of the provider s research performance and outcomes over the past five years benchmarked against selected universities. Include information covering: z staff responsible for the research z the number, and quality, of research publications (such as books, book chapters, articles in scholarly journals and conference papers) z the number of student completions in courses with a major research component z the number and value of successful research grants z industry or other research funding. ë Attach evidence of external and independent reviews of research quality undertaken over the past five years, including examples of improvements resulting from such reviews. ë Attach evidence of effective processes for research and research management, including how these processes have been enhanced over the past five years. Ensure that the processes cover: z research codes of practice z appointment, development and performance review of research supervisors z ethics approval z research misconduct z ownership of intellectual property arising from research z minimum level of resources available to research students z research culture z research funding and grants z cross-disciplinary research. ë Attach evidence of effective processes for examining Higher Degree by Research (HDR) candidates, including how these processes have been enhanced over the past five years. Ensure that the information covers: z selection process for examiners z number of examiners, including proportion of external examiners z expected timeframes for examiners to complete examination of a thesis z decision making processes for examiner recommendations z appeal processes for examiner decisions. B2.3 List of other evidence identified by the provider In the table at subsection B2.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University Provider Category Standard 2.3. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the 66

evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standard 2.3 include (but are not limited to): z innovation and commercialisation policy and procedures, or similar, and evidence of implementation z trend data showing investment in research over the past five years z approach to external research collaboration, such as industry partnerships z reports on coursework and research training outcomes z effectiveness of training programs dealing with research ethics and integrity z workload formula for allocation of research supervision z review outcomes showing sufficient experienced supervisors are in place to support the number of current and projected HDR candidates z data on student retention, completion and student satisfaction in relation to HDR courses z effectiveness of supervisor induction and development programs, and participant numbers z effectiveness of confirmation of candidature process z improvements made to academic governance and management arrangements z data showing the adequacy and availability of resources for research and research training. B2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B2.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standard 2.3 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 67

SUBSECTION B3: SYSTEMATIC ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE Standard 2.4- The higher education provider demonstrates the commitment of teachers, researchers, course designers and assessors to the systematic advancement and dissemination of knowledge. B3.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University Provider Category Standard 2.4. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B3.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence of the provider s strategies and outcomes relating to the systematic advancement and dissemination of knowledge. ë Attach evidence of how professional development, performance management and promotion processes for teachers, researchers, course designers and assessors have built a culture of research and scholarship in which knowledge is systematically created, advanced and disseminated and academic inquiry is built across disciplines. ë Attach evidence of outcomes that demonstrate the provider has a skilled workforce of teaching and learning professionals committed to the systematic advancement and dissemination of knowledge. has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standard 2.4 include (but are not limited to): z staff research and industry engagement outcomes that have built capacity to create advanced knowledge and to create the challenge of academic inquiry across disciplines, and the impact of such research and outcomes z processes that support research collaboration across disciplinary areas z examples of cross-disciplinary research and dissemination of outcomes z examples of effective external research partnerships z processes that support academic staff to make public comment on issues that lie within their expertise (such as media appearances, regular op-eds/columns and presentations at conferences). B3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B3.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standard 2.4 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B3.3 List of other evidence identified by the provider In the table at subsection B3.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University Provider Category Standard 2.4. The provider 68

SUBSECTION B4: SCHOLARSHIP Standard 2.5 The higher education provider demonstrates sustained scholarship that informs teaching and learning in all fields in which courses of study are offered. B4.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University Provider Category Standard 2.5. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B4.2 Required evidence (to be attached to the application) TEQSA requires evidence that demonstrates a sustained culture of scholarship across all Fields of Education in which the provider offers higher education courses of study. There are various definitions of scholarship. One that is well recognised is the Boyer Model of Scholarship which divides scholarship into four categories: discovery, integration, application, and teaching. (Source: Boyer, E. (1990) Scholarship Reconsidered: Priorities of the Professoriate). Scholarship was defined in the former (2007) National Guidelines for Higher Education Approval Processes (the National Protocols ) as: z Demonstrating current knowledge and ongoing intellectual engagement in primary and allied disciplines, and their theoretical underpinnings. z Keeping abreast of the literature and new research including by interaction with peers, and using that knowledge to inform learning and teaching z Encouraging students to be critical, creative thinkers and enhancing understanding of teaching through interaction with students. z Engaging in professional practice that is appropriate to the discipline. z Being informed about the literature of teaching and learning in the relevant disciplines and being committed to ongoing development of teaching practice, and z Focusing on the learning outcomes of students The following evidence must be attached to the application: ë Attach a summary of the provider s culture of scholarship, including how it is defined, has been developed, and how it is sustained to inform teaching and learning in all Fields of Education in which courses of study are offered. ë Attach the current academic plan, teaching and learning plan, or similar, as well as the most immediate previous version. Include evidence of progress and outcomes against each objective, including those related to developing and embedding a sustained culture of scholarship across the provider s higher education operations. ë Attach evidence that the provider s academic staff: z demonstrate a breadth and depth of discipline knowledge in the fields of education in which courses of study are offered z contribute to the culture of scholarship. ë Attach evidence of research outcomes for the past five years relating to the scholarship of teaching and learning, and research outcomes that advance the discipline fields of the courses of study offered by the provider. Include evidence that demonstrates how research outcomes are used in teaching and learning practices. ë Attach evidence that demonstrates how, over the past five years, staff and students have been supported to form part of a scholarly intellectual community for their discipline and to participate in the life of this community. ë Attach evidence of outcomes over the past five years of effective academic policy development, implementation and regular review in developing a culture of scholarship. ë Attach examples from the past five years of induction and/or professional development programs covering teaching and learning pedagogy and scholarship, and evidence of their impact and effectiveness. B4.3 List of other evidence identified by the provider In the table at subsection B4.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University Provider Category Standard 2.5. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. 69

If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standard 2.5 include (but are not limited to): z examples of how research is integrated with teaching z evidence of financial resources allocated over the past five years to enhance the provider s culture of scholarship (for example, to purchase publications and journal subscriptions, electronic databases, text books) z peer support and/or review processes for teaching and scholarship z evidence of staff membership of, engagement with, and/or recognition within professional associations/ bodies and other disciplinary communities z longitudinal surveys of staff and students providing evidence of the existence of a scholarly community z effectiveness of incentives and support for academic staff to participate in professional development that is linked to the applicant s culture of scholarship, and evidence of participation rates. B4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B4.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standard 2.5 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 70

SUBSECTION B5: GOOD PRACTICES IN TEACHING AND LEARNING Standard 2.6 - The higher education provider identifies and implements good practices in student teaching and learning, including those that have the potential for wider dissemination nationally. B5.1 Summary Statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University Provider Category Standard 2.6. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B5.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence from the past five years of processes that identify, develop, adapt and disseminate recognised good practices in teaching and learning and outcomes. ë Attach recent examples of good practices in teaching and learning and their impact. or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standard 2.6 include (but are not limited to): z examples of how good practices in teaching and learning have been disseminated nationally or internationally z national awards, fellowships and/or grants that support and/or recognise innovations in teaching and learning z academic management processes that identify, further develop and implement good practices across the provider s higher education operations, and evidence of their impact on student learning z attendance and presentations at conferences and contributions to higher education discussion forums with the purpose of sharing good practices nationally z outcomes of benchmarking activities with other universities that measure effectiveness and support improvement in teaching and learning. B5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B5.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standard 2.6 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B5.3 List of other evidence identified by the provider In the table at subsection B5.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University Provider Category Standard 2.6. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard 71

SUBSECTION B6: STUDENT SERVICES AND SUPPORT Standard 2.7 The higher education provider offers an extensive range of student services, including student academic and learning support, and extensive resources for student support in all disciplines offered. ë Attach evidence of the adequacy of the size, range and currency of library and learning resources, (including electronic databases) available to support the provider s current and projected student numbers, discipline areas offered, and research and scholarship activities. Include comparative data for selected universities. ë Attach, if applicable, evidence of outcomes of arrangements with third parties in cases where provision of student services is outsourced. B6.1 Summary Statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University Provider Category Standard 2.7. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B6.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence of the quality, sufficiency and effectiveness of the range of student services available, irrespective of a student s location and mode of study. Include information about the following in relation to activities over the last five years: z how each service has been enhanced to improve effectiveness z how each service has been tailored for different student cohorts and different discipline areas z the extent to which each service has been accessed by students z how performance of each service is analysed, and the data used in decision making. ë Attach evidence over the past five years of effective outcomes following identification, intervention and access to support processes in relation to students at risk of unsatisfactory academic progress. Include statistics on the number of students identified during the past five years, academic progress as a result of intervention and support provided, and changes made to processes to enhance effectiveness. B6.3 List of other evidence identified by the provider In the table at subsection B6.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University Provider Category Standard 2.7. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standard 2.7 include (but are not limited to): z effectiveness of mature student grievance processes supplemented by independent third party arrangements z evidence of effective mechanisms for providing accurate, timely, adequate and openly accessible information to prospective and current students on all matters relating to their study (including in relation to admission criteria and assessment), and the regular evaluation and updating of this information z description of processes that ensure students can readily access contact staff for responses to their queries, irrespective of their mode of study or location z evidence of support for student associations and impact on the provider s higher education operations. 72

B6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B6.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standard 2.7 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 73

SUBSECTION B7: COMMUNITY ENGAGEMENT AND COMMITMENT TO SOCIAL RESPONSIBILITY Standard 2.8 The higher education provider demonstrates engagement with its local and regional communities and demonstrates a commitment to social responsibility in its activities. B7.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University Provider Category Standard 2.8. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B7.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach the provider s current and the immediate past community engagement strategy, plan or similar that outlines the provider s approach to engagement with its local and regional communities, and commitment to social responsibility. Include evidence of progress and outcomes against planned objectives. ë Attach evidence of the extent of industry involvement and its impact across the provider s curriculum, teaching and learning, and research activities. ë Attach examples of community engagement projects undertaken over the past five years, including details about outcomes achieved and how the projects align with the provider s community engagement strategy, plan or similar. Include information about the provider s processes for identifying, resourcing, monitoring, and evaluating community engagement projects and how these have changed over time to enhance effectiveness. ë Attach performance outcomes data for the past five years used to evaluate and report on the effectiveness of the provider s community engagement and social responsibility commitments. B7.3 List of other evidence identified by the provider In the table at subsection B7.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University Provider Category Standard 2.8. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standard 2.8 include (but are not limited to): z a list of local and regional communities with whom the provider engages, and examples of outcomes from mutually beneficial agendas and projects z examples of how engagement with local and regional communities improves the quality of the provider s teaching and learning, scholarship and research activities z examples of how the provider s commitment to social responsibility is reflected in its teaching and learning, scholarly and research activities z evidence of the provider s responsiveness to local and regional community needs, and resulting opportunities and outcomes. B7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B7.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standard 2.8 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 74

SUBSECTION B8: QUALITY ASSURANCE, ACADEMIC STANDARDS AND ACADEMIC INTEGRITY Standard 2.9 The higher education provider has systematic, mature internal processes for quality assurance and the maintenance of academic standards and academic integrity. B8.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University Provider Category Standard 2.9. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B8.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence that demonstrates systematic implementation of quality assurance frameworks and/ or processes that are mature, and that focus on effective outcomes, impact measurement, outcomes evaluation, and improvement. Include evidence of how, over the past five years, these frameworks and/or processes have changed and improved their impact. ë Attach evidence from the past five years of processes used to develop, review and assure consistent implementation of academic policies, and provide examples of effective implementation. ë Attach evidence from the past five years of internal and external review and evaluation, and the use of outcomes to measure the effectiveness of review activities. ë Attach evidence from the past five years of methods used to define, disseminate, uphold, monitor and review academic standards, and provide examples of effective implementation. ë Attach evidence from the past five years of embedded and mature approaches to upholding academic integrity across the applicant s higher education operations, and provide evidence of how these approaches have been enhanced. ë Attach evidence from the past five years of effective benchmarking and feedback processes used to assure academic quality. B8.3 List of other evidence identified by the provider In the table at subsection B8.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University Provider Category Standard 2.9. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University Provider Category Standard 2.9 include (but are not limited to): z performance data trends over time, and how such data measure quality z use of measures and indicators in approaches to quality assurance z external expertise used in quality assurance processes. B8.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B8.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University Provider Category Standard 2.9 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 75

SUBSECTION B9: SUPPORT OF GOVERNMENT Standard 2.10 - The higher education provider s application for registration has the support of the relevant Commonwealth, State or Territory Government. B9.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University Provider Category Standard 2.10. The TEQSA Act requires TEQSA to consult with the relevant State or Territory Minister responsible for higher education during an assessment of any application for registration in a provider category that permits the use of the word university. Further details are included in the summary of process diagram that appears earlier in this Guide. The consultation process will be conducted by TEQSA and is separate from the requirement for the provider to demonstrate support for its application from the relevant Commonwealth, state or territory government. B9.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach signed and dated statements of support for the application from relevant Commonwealth, state or territory government Ministers with responsibility for higher education. ë Attach any other evidence demonstrating engagement with government or other stakeholders in relation to the application for example, signed and dated statements of support for the application. 76

PART 3: APPLICATION FOR CHANGE OF PROVIDER CATEGORY TO AUSTRALIAN UNIVERSITY OF SPECIALISATION Introduction The Application Form Application for Change of Provider Category to Australian University of Specialisation ( the Application Form ) is applicable for: z an existing higher education provider registered in the category of Australian University College seeking to change its provider category to that of Australian University of Specialisation z a provider authorised for at least the last five years to self-accredit at least 85 per cent of its total course of study in one or two Broad Fields of Education (as defined by ASCED), including Masters Degrees (Research) and Doctoral Degrees (Research) in these Broad Fields of Education, and seeking to change its provider category to that of Australian University of Specialisation. Information to assist providers to complete the Application Form is included in sections A and B of this part of the Guide. The section numbers correspond with those in the Application Form. Registration in the Australian University of Specialisation category gives a provider authority, and thus significant responsibility, for assuring the quality of its higher education operations and compliance with the Threshold Standards, in particular in relation to intellectual inquiry, development and transmission of knowledge, and academic freedom. The Criteria for authorising self-accrediting authority within the Threshold Standards provide that a higher education provider approved by TEQSA for registration in the Australian University of Specialisation provider category may be authorised to self-accredit one or more of its courses of study. The Criteria for authorising self-accrediting authority (4.1 to 4.6) are detailed at pages 18 and 19 of the Higher Education Standards Framework, available at: http:// www.comlaw.gov.au/details/f2012l00003/download. TEQSA will consider the evidence provided in each application in deciding whether an applicant will be granted self-accrediting authority for some or all of its proposed awards to be delivered in its capacity as an Australian University of Specialisation. In considering applications, TEQSA will seek confirmation of the extent to which the provider: z can demonstrate compliance with the Australian University of Specialisation Provider Category Standards z can evidence strong academic leadership in its governance and across discipline areas z has implemented its plans to build its capability and capacity. Areas TEQSA will consider include: z evidence of a well developed research capability leading to the creation of new knowledge and original creative endeavour in at least those Broad Fields of Education in which Masters Degrees (Research) and Doctoral Degrees (Research) are offered z clear outcomes evidencing the provider s commitment to systematic advancement and dissemination of knowledge z evidence of a sustained culture of scholarship that informs teaching and learning across all disciplines in which higher education courses of study are offered z systematic and mature internal processes for quality assurance and the maintenance of academic standards. Structure of the Application Form The Application Form Application for Change of Provider Category to Australian University of Specialisation has two main sections: z Section A Provider details and rationale for applying z Section B Summary of how the provider meets the Australian University of Specialisation Provider Category Standards. Section A of the Application Form requires the provider to respond to specific questions relating to: z provider details, including the registered business names under which the provider intends to conduct its higher education operations if registered in the category of Australian University of Specialisation z details of any other applications submitted to TEQSA at the same time as this application 77

z a contact officer for TEQSA to liaise with during the application assessment process z the rationale for applying for registration in the category of Australian University of Specialisation, including a high level summary of how the provider will meet the ten standards within Section 4 of the Provider Category Standards, and how this application relates to the provider s strategic objectives and mission. Section B of the Application Form requires: z a summary statement outlining how the provider meets the standards noted in that section. As a guide, this statement should be around 2,500 words, noting that the required evidence and other evidence that the provider chooses to submit with the application will set out details. Each summary statement should include information relevant to the applicable provisions of Section 4 of the Provider Category Standards in relation to: ʱʱ ʱʱ the applicant s approaches, effective implementation and outcomes relevant to the standard any matters of significant risk identified in relation to the relevant Provider Category Standard and its components (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. z a list of evidence TEQSA requires to be attached to the Application Form z a list of other evidence that demonstrates that the provider meets the relevant Provider Category Standards referred to in that section of the Application Form. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so it can be made accessible to TEQSA on request during the assessment process Examples of types of evidence are contained in this Application Guide. These are provided as examples only, are not definitive, not listed in any order of priority, and not exclusive. They are intended to aid each provider in selecting sufficient evidence to show that it has appropriate arrangements in place and is achieving outcomes that give appropriate assurance to TEQSA that it meets the relevant Provider Category Standard. z a table in which to cross-reference evidence or information supplied in other sections of the Application Form, or in any separate application submitted to TEQSA at the same time as this application. Information to assist providers with their application is included in sections A and B of this part of the Guide. The section numbers correspond with those in the Application Form. 78

SECTION A PROVIDER DETAILS AND RATIONALE FOR APPLYING A1.1 Name of legal entity applying Providers must note the legal name of the entity applying for registration in the category of Australian University of Specialisation. A1.2 TEQSA Identification Number Insert the Provider s TEQSA Identification Number in the Application Form. The TEQSA Identification Number is available by contacting the relevant Provider Case Manager directly, by email to enquiries@teqsa.gov.au or by telephoning 1300 739 585. A1.3 Registered business (trading) name or names List the registered business name or names the provider is, or will be, using if registered by TEQSA in the category of Australian University of Specialisation. A1.4 Other concurrent applications Indicate whether the provider is submitting any other applications to TEQSA at the same time as submitting an application for registration in the category of Australian University of Specialisation. For example, providers may submit at the same time applications for renewal of registration, or re-registration, under the Education Services for Overseas Students Act 2000. Providers must provide to TEQSA the name of the person who has the authority to liaise directly with TEQSA throughout the application process. The Contact Officer must be familiar with the evidence submitted, and must be deemed to have an appropriate level of skill, knowledge and expertise necessary to provide additional, timely and accurate information and/or clarification as requested by TEQSA. A1.6 Rationale for seeking registration in the category of Australian University of Specialisation TEQSA requires an overall rationale for applying for registration in the category of Australian University of Specialisation, including a high level summary of how the provider meets the ten standards within Section 4 of the Provider Category Standards. Section 4 of the Provider Category Standards is at pages 11 and 12 of the Higher Education Standards Framework, available at: http:// www.comlaw.gov.au/details/f2012l00003/dowload. The summary should include details of how, over the previous five years, the provider has increased capacity and capability across its higher education operations to enable it to meet the Australian University of Specialisation Provider Category Standards, in line with its strategic objectives and mission. If this is the case, list in section A1.4 of the Application Form any other application submitted at the same time. There may be some sections in the Application Form that require the same information as that requested in other applications. TEQSA only requires the information to be submitted once. Please cross-reference such information accordingly. A1.5 Contact Officer At any time during the preliminary assessment or the substantive assessment stages, the provider may be asked to clarify aspects of the application and/or to provide additional information. 79

SECTION B SUMMARY OF HOW THE PROVIDER MEETS THE AUSTRALIAN UNIVERSITY OF SPECIALISATION PROVIDER CATEGORY STANDARDS Section B of the Application Form requires evidence against each of the Australian University of Specialisation Provider Category Standards 4.1 to 4.10. Each of the ten standards is detailed in this Guide, and is also contained at pages 11 and 12 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/ Details/F2012L00003/Download. SUBSECTION B1: SELF-ACCREDITING STATUS AND COURSES OF STUDY THAT MEET THE QUALIFICATION STANDARDS Standard 4.1 The higher education provider self-accredits and delivers undergraduate and postgraduate courses of study that meet the Qualification Standards in one or two broad fields of study (including Masters Degrees (Research) and Doctoral Degrees (Research) in at least these one or two broad fields of study it offers). Standard 4.2 The higher education provider has been authorised for at least the last five years to self-accredit at least 85% of its total courses of study in one or two broad fields of study only, including Masters Degrees (Research) and Doctoral Degrees (Research) in these broad field/s of study. B1.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University of Specialisation Provider Category Standard 4.1 and 4.2. The summary must include information about: z the provider s approaches, effective implementation and outcomes, relevant to the standards z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the applicant s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B1.2 Required evidence (to be attached to the application) TEQSA requires that the following evidence is attached to the Application Form: ë Attach a list of the undergraduate and postgraduate courses of study offered and self-accredited by the provider in one or two Broad Fields of Education, including: z Masters Degrees (Research) in at least one of the Broad Fields of Education it offers z Doctoral Degrees (Research) in at least one of the Broad Fields of Education it offers. Include, for each course of study, the applicable Broad Field of Education code; the AQF award level; and the date which the course was first offered by the provider. TEQSA anticipates that undergraduate and postgraduate courses of study would typically be offered in the same Field of Education for example, in the discipline of Business a Bachelor of Business, or a Bachelor of Commerce, and a Master of Business Administration. Note that Broad Field of Education is defined by an ASCED two digit Broad Field of Education code. ASCED is a classification of courses, specialisations, and units of study with the same or similar vocational emphasis or principal subject matter in the course of study. The ASCED codes can be accessed at: http://www.ausstats. abs.gov.au/ausstats/free.nsf/0/2d08d604cc032093ca 256AAF0080766F/$File/12720_2001.pdf. ë Attach evidence of how the provider meets the Qualifications Standards across the Broad Fields of Education in which higher education courses of study are offered, including: z policies, procedures, guidelines or similar that outline the provider s approach to credit transfer, articulation and recognition of prior learning (RPL) z a plan or similar outlining how the provider will achieve, by 1 January 2015, full compliance with the AQF requirements within the Qualification Standards 5 z mechanisms used to authenticate certification documentation for the purposes of preventing fraudulent use 5 The AQF Implementation Arrangements require that all requirements of the AQF be met from 1 January 2015 (refer to page 101 of the Australian Qualifications Framework, July 2011, available at: http://www.aqf.edu.au/) 80

z processes that ensure that students will be able to access a statement of attainment or record of results when they have completed one or more subjects toward an award qualification z examples of certification documentation for the higher education awards to be offered if registered in the category of Australian University of Specialisation. The Qualification Standards are listed at pages 20 to 24 of the Higher Education Standards Framework, available at: http://www.comlaw.gov.au/details/f2012l00003/ Download. ë Attach performance data for the previous five years that demonstrates the quality and effectiveness of the provider s undergraduate and postgraduate higher education courses of study and performance trends over time. ë Attach confirmed minutes of meetings for the previous 12 month period of the Academic Board or similar body that has responsibility for setting academic policy and/ or oversight of academic standards and effective quality assurance arrangements. ë Attach reports from external or internal reviews undertaken over the previous five years of the academic governance arrangements, including reviews of the Academic Board or similar body and the impact of these reviews. If there are more than three reports, attach only the most recent three reports. ë Attach evidence of changes made over the past five years to ensure ongoing effectiveness of the provider s academic governance arrangements, including evidence that the depth, breadth and currency of discipline expertise within academic governance processes has been enhanced. ë Attach evidence of mature processes for course development, course approval, course monitoring, course review, and course discontinuance, including: z how data and feedback is used for decision making and improvement, and z how each process has been refined and enhanced for effectiveness over the past five years. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standards 4.1 and 4.2 include (but are not limited to): z reports provided to the academic board and governing body on the quality and currency of higher education courses of study z student, graduate and other stakeholder feedback on the quality of the provider s courses of study z approaches to benchmarking against relevant external standards and university practices and how benchmarking contributes to the ongoing quality assurance and effectiveness of a provider s selfaccrediting authority z effectiveness of academic governance and management of self-accrediting authority, including external or internal reviews of these governance and management arrangements z evidence of academic leadership across each Field of Education in which the provider delivers courses of study. B1.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B1.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standards 4.1 and 4.2 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B1.3 List of other evidence identified by the provider In the table at subsection B1.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets the Australian University of Specialisation Provider Category Standards 4.1 and 4.2. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. 81

SUBSECTION B2: RESEARCH Standard 4.3 The higher education provider undertakes research that leads to the creation of new knowledge and original creative endeavour at least in those broad fields of study in which Masters Degrees (Research) and Doctoral Degrees (Research) are offered. B2.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the applicant meets the Australian University of Specialisation Provider Category Standard 4.3. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B2.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach the provider s current research plan or similar, as well as its immediate past research plan or similar, together with evidence of progress and outcomes against each of the plan s objectives. ë Attach evidence of the budget allocations over the past five years to support research activities, and planned budget allocations for research over the next three years. ë Attach evidence of how the provider s current research effort leads to the creation of new knowledge and original creative endeavour in at least the Broad Fields of Education in which Masters Degrees (Research) and Doctoral Degrees (Research) are offered. ë Attach evidence of the provider s research performance and outcomes over the past five years, benchmarked against selected universities. Include information covering: z staff responsible for the research z the number, and quality, of research publications (such as books, book chapters, articles in scholarly journals and conference papers) z the number of student completions in Higher Degree by Research (HDR) courses z the number and value of successful research grants z industry or other research funding. ë Attach evidence of external and independent reviews of research quality undertaken over the past five years, including examples of improvements resulting from such reviews. ë Attach evidence of effective processes for research and research management, including how these processes have been enhanced over the past five years. Ensure that the processes cover: z research codes of practice z appointment, development and performance review of research supervisors z ethics approval z research misconduct z ownership of intellectual property arising from research z minimum level of resources available to research students z research culture z research funding and grants z cross-disciplinary research. ë Attach evidence of effective processes for examining Higher Degree by Research candidates, including how these processes have been enhanced over the past five years. Ensure that the information covers: z selection process for examiners z number of examiners, including proportion of external examiners z expected timeframes for examiners to complete examination of a thesis z decision making processes for examiner recommendations z appeal processes for examiner decisions. B2.3 List of other evidence identified by the provider In the table at subsection B2.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the applicant meets Australian University of Specialisation Provider Category Standard 4.3. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note 82

the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standard 4.3 include (but are not limited to): z innovation and commercialisation policy and procedures, or similar, and evidence of implementation z trend data showing investment in research over the past five years z approach to external research collaboration, such as industry partnerships z reports on coursework and research training outcomes z effectiveness of training programs dealing with academic research integrity and research ethics z workload formula demonstrating appropriate recognition of research supervision z review outcomes showing sufficient experienced supervisors are in place to support the number of current and projected HDR candidates z data on student retention and student satisfaction in relation to HDR courses z effectiveness of supervisor induction and development programs, and participant numbers z effectiveness of confirmation of candidature process z improvements made to academic governance and management arrangements z data showing the adequacy and availability of resources for research and research training. B2.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B2.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standard 4.3 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 83

SUBSECTION B3: SYSTEMATIC ADVANCEMENT AND DISSEMINATION OF KNOWLEDGE Standard 4.4 The higher education provider demonstrates the commitment of teachers, researchers, course designers and assessors to the systematic advancement and dissemination of knowledge. B3.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University of Specialisation Provider Category Standard 4.4. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B3.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence of the provider s strategies and outcomes relating to the systematic advancement and dissemination of knowledge. ë Attach evidence of how professional development, performance management and promotion processes for course designers, teachers, researchers and assessors have built a culture of research and scholarship in which knowledge is systematically created, advanced and disseminated and academic inquiry is built across disciplines. ë Attach evidence of outcomes that demonstrate the provider has a skilled workforce of teaching and learning professionals committed to the systematic advancement and dissemination of knowledge. 4.4. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standard 4.4 include (but are not limited to): z staff research and industry engagement outcomes that have built capacity to create advanced knowledge and to create the challenge of academic inquiry across disciplines, and their impact of such research and outcomes z processes that support research collaboration across disciplinary areas z examples of cross-disciplinary research and dissemination of outcomes z examples of effective external research partnerships z processes that support academic staff to make public comment on issues that lie within their expertise (such as media appearances, presentations at conferences). B3.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B3.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standard 4.4 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B3.3 List of other evidence identified by the provider In the table at subsection B3.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University of Specialisation Provider Category Standard 84

SUBSECTION B4: SCHOLARSHIP Standard 4.5 The higher education provider demonstrates sustained scholarship that informs teaching and learning in all fields in which courses of study are offered. B4.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University of Specialisation Provider Category Standard 4.5. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B4.2 Required evidence (to be attached to the application) TEQSA requires evidence that demonstrates a sustained culture of scholarship across all Fields of Education in which the provider offers higher education courses of study. There are various definitions of scholarship. One that is well recognised is the Boyer Model of Scholarship which divides scholarship into four categories: discovery, integration, application, and teaching. (Source: Boyer, E. (1990) Scholarship Reconsidered: Priorities of the Professoriate). Scholarship is also defined in the former (2007) National Guidelines for Higher Education Approval Processes (the National Protocols ) as: z Demonstrating current knowledge and ongoing intellectual engagement in primary and allied disciplines, and their theoretical underpinnings. z Keeping abreast of the literature and new research including by interaction with peers, and using that knowledge to inform learning and teaching z Encouraging students to be critical, creative thinkers and enhancing understanding of teaching through interaction with students. z Engaging in professional practice that is appropriate to the discipline. z Being informed about the literature of teaching and learning in the relevant disciplines and being committed to ongoing development of teaching practice, and z Focusing on the learning outcomes of students The following evidence must be attached to the application: ë Attach a summary of the provider s culture of scholarship, including how it is defined, has been developed, and how it is sustained to inform teaching and learning in all Fields of Education in which courses of study are offered. ë Attach the current academic plan, teaching and learning plan, or similar, as well as the most immediate previous version. Include evidence of progress and outcomes against each objective, including those related to developing and embedding a sustained culture of scholarship across the provider s higher education operations. ë Attach evidence that the provider s academic staff: z demonstrate a breadth and depth of discipline knowledge in the fields of education in which courses of study are offered z contribute to the culture of scholarship. ë Attach evidence of research outcomes over the past five years relating to the scholarship of teaching and learning, and research outcomes that advance the discipline fields of the courses of study offered by the provider. Include evidence that demonstrates how research outcomes are used in teaching and learning practices. ë Attach evidence that demonstrates how, over the past five years, staff and students have been supported to form part of a scholarly intellectual community for their discipline and to participate in the life of this community. ë Attach evidence of outcomes over the past five years of effective academic policy development, implementation and regular review in developing a culture of scholarship. ë Attach examples from the past five years of induction and/or professional development programs covering teaching and learning pedagogy and scholarship, and evidence of their impact and effectiveness. B4.3 List of other evidence identified by the provider In the table at subsection B4.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University of Specialisation Provider Category Standard 4.5. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. 85

If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standard 4.5 include (but are not limited to): z examples of how research is integrated with teaching z evidence of financial resources allocated over the past five years to enhance the provider s culture of scholarship z peer support and/or review processes for teaching and scholarship z evidence of staff membership of, engagement with, and/or recognition within professional associations/ bodies and other disciplinary communities z longitudinal data from surveys of staff and students indicating agreement with statements concerning the existence of a scholarly community z effectiveness of incentives and support for academic staff to participate in professional development that is linked to the applicant s culture of scholarship, and evidence of participation rates. B4.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B4.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standard 4.5 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 86

SUBSECTION B5: GOOD PRACTICES IN TEACHING AND LEARNING Standard 4.6 - The higher education provider identifies and implements good practices in student teaching and learning, including those that have the potential for wider dissemination nationally. B5.1 Summary Statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University of Specialisation Provider Category Standard 4.6. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B5.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence over the past five years of processes to identify, develop, adapt and disseminate recognise good practices in teaching and learning and outcomes. ë Attach recent examples of good practices in teaching and learning, and their impact. or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standard 4.6 include (but are not limited to): z examples of how good practices in teaching and learning have been disseminated nationally or internationally z national awards, fellowships and/or grants that support and/or recognise innovations in teaching and learning z academic management processes that identify, further develop and implement good practices across the provider s higher education operations, and evidence of their impact on student learning z attendance and presentations at conferences and contributions to higher education discussion forums for the purpose of sharing good practices nationally z outcomes of benchmarking activities with other universities that measure effectiveness and support improvement in teaching and learning. B5.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B5.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standard 4.6 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. B5.3 List of other evidence identified by the provider In the table at subsection B5.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University of Specialisation Provider Category Standard 4.6. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard 87

SUBSECTION B6: STUDENT SERVICES AND SUPPORT Standard 4.7 The higher education provider offers an extensive range of student services, including student academic and learning support, and extensive resources for student support in all disciplines offered. B6.1 Summary Statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University of Specialisation Provider Category Standard 4.7. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B6.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence of the quality, sufficiency and effectiveness of the range of student services available, irrespective of a student s location and mode of study. Include information about the following in relation to activities over the last five years: z how each service has been enhanced to improve effectiveness z how each service has been tailored for different student cohorts and different discipline areas z the extent to which each service has been accessed by students z how performance of each service is analysed, and the data used in decision making. ë Attach, if applicable, evidence of the outcomes of arrangements with third parties in cases where provision of student services is outsourced. ë Attach evidence from the past five years of effective outcomes following identification, intervention and access to support processes in relation to students at risk of unsatisfactory academic progress. Include statistics on the number of students identified during the five year period, academic progress as a result of intervention and support provided, and changes made to processes to enhance effectiveness. ë Attach evidence of the adequacy of the size, range and currency of library and learning resources (including electronic databases) available to support the provider s current and projected student numbers, discipline areas offered, and research and scholarship activities. Include comparative data for selected universities. B6.3 List of other evidence identified by the provider In the table at subsection B6.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University of Specialisation Provider Category Standard 4.7. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standard 4.7 include (but are not limited to): z effectiveness of mature student grievance processes supplemented by independent third party arrangements z outcomes of arrangements with third parties in cases where provision of student services is outsourced z evidence of effective mechanisms for providing accurate, timely, adequate and openly accessible information to prospective and current students on all matters relating to their study (including in relation to admission criteria and assessment), and the regular evaluation and updating of this information z processes to ensure that students can readily access contact staff to respond to their queries, irrespective of their mode of study or location z facilitation of student representation in deliberative and decision making processes, including induction processes to support students on boards or committees z evidence of support for student associations and impact on the provider s higher education operations. 88

B6.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B6.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standard 4.7 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 89

SUBSECTION B7: COMMUNITY ENGAGEMENT AND COMMITMENT TO SOCIAL RESPONSIBILITY Standard 4.8 The higher education provider demonstrates engagement with its local and regional communities and demonstrates a commitment to social responsibility in its activities. B7.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University of Specialisation Provider Category Standard 4.8. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B7.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach the provider s current and the immediate past community engagement strategy, plan or similar that outlines the provider s approach to engagement with its local and regional communities, and commitment to social responsibility. Include evidence of progress and outcomes against planned objectives. ë Attach evidence of the extent of industry involvement and its impact across the provider s curriculum, teaching and learning and research activities. ë Attach examples of community engagement projects undertaken over the past five years, including details about outcomes achieved and how the projects align with the provider s community engagement strategy, plan or similar. Include information about the provider s processes for identifying, resourcing, monitoring, and evaluating community engagement projects and how these have changed over time to enhance effectiveness. ë Attach performance outcomes data used over the past five years to evaluate and report on the effectiveness of the provider s community engagement and social responsibility commitments. B7.3 List of other evidence identified by the provider In the table at subsection B7.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University of Specialisation Provider Category Standard 4.8. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. to include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standard 4.8 include (but are not limited to): z a list of local and regional communities with which the provider engages, and examples of outcomes from mutually beneficial agendas and projects z examples of how engagement with local and regional communities improves the quality of the provider s teaching and learning, scholarship and research activities z examples of how the provider s commitment to social responsibility is reflected in its teaching and learning, scholarly and research activities z evidence of the provider s responsiveness to local and regional community needs, and resulting opportunities and outcomes. B7.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B7.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standard 4.8 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 90

SUBSECTION B8: QUALITY ASSURANCE, ACADEMIC STANDARDS AND ACADEMIC INTEGRITY ë Attach evidence of effective benchmarking and feedback processes used to assure academic quality over the past five years. Standard 4.9 The higher education provider has systematic, mature internal processes for quality assurance and the maintenance of academic standards and academic integrity. B8.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University of Specialisation Provider Category Standard 4.9. The summary must include information about: z the provider s approaches, effective implementation and outcomes relevant to the standard z any matters of significant risk identified in relation to meeting the standard (whether relating to significant institution-wide risks across the provider s higher education operations, or significant risks in one or more areas) and how these risks are mitigated to ensure compliance. B8.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach evidence that demonstrates systematic implementation of quality assurance frameworks and/ or processes that are mature, and that focus on effective outcomes, impact measurement, outcomes evaluation, and improvement. Include evidence of how, over the previous five years, these frameworks and/or processes have changed and improved their impact. ë Attach evidence from the past five years of processes used to develop, review and assure consistent implementation of academic policies, and provide examples of effective implementation. ë Attach evidence of internal and external review and evaluation over the past five years, and the use of outcomes to measure the effectiveness of review activities. ë Attach evidence of methods used over the past five years to define, disseminate, uphold, monitor and review academic standards, and provide examples of effective implementation. ë Attach evidence of embedded and mature approaches to upholding academic integrity across the applicant s higher education operations and provide evidence of how these approaches have been enhanced over the past five years. B8.3 List of other evidence identified by the provider In the table at subsection B8.3 of the Application Form, TEQSA requires a list of other evidence that demonstrates that the provider meets Australian University of Specialisation Provider Category Standard 4.9. The provider has the discretion either to: a. attach the evidence to the Application Form so that it is immediately accessible to TEQSA, or b. include a reference to the evidence in the table in the Application Form so that it can be made accessible to TEQSA on request during the assessment process. If the evidence is attached to the Application Form, note the attachment number and reference to the standard or standards to which the evidence relates. If the evidence is not attached to the Application Form, note the precise location of the evidence (such as the full url address, document owner, file path, and location) as well as reference to the standard or standards to which the evidence relates. Examples of evidence that may demonstrate that the provider meets the Australian University of Specialisation Provider Category Standard 4.9 include (but are not limited to): z performance data trends over time, and how such data measure quality z use of measures and indicators in approaches to quality assurance z internal and external review of academic governance and academic quality assurance processes z external expertise used in quality assurance processes. B8.4 Cross-reference to evidence supplied for other standards, or in any other application submitted at the same time Using the table at subsection B8.4 of the Application Form, provide cross-references to any evidence relevant to the Australian University of Specialisation Provider Category Standard 4.9 that is supplied elsewhere in the application, or in any separate application submitted to TEQSA at the same time. 91

SUBSECTION B9: GOVERNMENT SUPPORT Standard 4.10 The higher education provider s application for registration has the support of the relevant Commonwealth, State or Territory Government. B9.1 Summary statement TEQSA requires a summary of reasons and evidence that demonstrates how the provider meets the Australian University of Specialisation Provider Category Standard 4.10. The TEQSA Act requires TEQSA to consult with the relevant State or Territory Minister responsible for higher education during an assessment of any application for registration in a provider category that permits the use of the word university. Further details are included in the summary of process diagram that appears earlier in this Guide. The consultation process will be conducted by TEQSA and is separate from the requirement for the provider to demonstrate support for its application from the relevant Commonwealth, state or territory government. B9.2 Required evidence (to be attached to the application) The following evidence must be attached to the application: ë Attach signed and dated statements of support for the application from relevant Commonwealth, state or territory government Ministers with responsibility for higher education. ë Attach any other evidence demonstrating engagement with government or other stakeholders in relation to the application for example, signed and dated statements of support for the application. 92

CHECKLIST FOR SUBMISSION An Attachment Checklist is included in each relevant Application Form. To avoid any delay in processing an application, the application must be complete and ALL required documents must be attached. Applications which are not accompanied by the required attachments will be returned for completion. ë This Attachment Checklist must be completed and provided with the Application Form. The checklist must be included as the front page of the evidence submitted and must be signed by the Chief Executive (or other authorised officer). Each attached document must: z be a controlled document (include a title, author, approver, and date/version number) z have the title in the header of the document consistent with the attachment name listed in the Attachment Checklist included in the Application Form z include page numbers (x of y) and version numbers in the footer of the document z be sequentially and clearly labelled so that it may be readily located and referenced by TEQSA. Numbers should include the relevant section number in the Application Form, and alphabetical sequencing necessary to label the number of documents for each section, as indicated at the Attachment Checklist of the relevant Application Form. For example, if there are three attachments relevant to section B1.2, these would be numbered as Attachment B1.2a, B1.2b, and B1.2c z be listed in the Attachment Checklist. 93

ABBREVIATIONS AND ACRONYMS ABN Australian Business Number ABR Australian Business Register ACER Australian Council for Educational Research ACN Australian Company Number ALTC Australian Learning and Teaching Council APA Australian Postgraduate Award AQF Australian Qualifications Framework ASCED Australian Standard Classification of Education ASIC Australian Securities and Investments Commission ASQA Australian Skills Quality Authority ASX Code Australian Securities Exchange Code AUQA Australian Universities Quality Agency AUSSE Australasian Survey of Student Engagement CGS Commonwealth Grant Scheme CRICOS Commonwealth Register of Institutions and Courses for Overseas Students CWLTH Commonwealth CV Curriculum Vitae DEEWR Department of Education, Employment and Workplace Relations (see also DIISRTE) DIISRTE Department of Industry, Innovation, Science, Research and Tertiary Education (see also DEEWR) EFTSL Equivalent Full Time Student Load ELICOS English Language Intensive Courses for Overseas Students ESOS Act Education Services for Overseas Students Act 2000 FTE Full-Time Equivalence GST Goods and Services Tax HDR Higher Degree by Research HE Higher Education HEIMS Higher Education Information Management System HESA Higher Education Support Act 2003 ICT Information and Communication Technology ISB International Student Barometer OECD Organisation for Economic Co-operation and Development OLT Office for Learning and Teaching RHD Research Higher Degree RTO Registered Training Organisation RTS Research Training Scheme TAS Tuition Assurance Scheme TEQSA Tertiary Education Quality and Standards Agency TEQSA Act Tertiary Education Quality and Standards Agency Act 2011 URL Uniform Resource Locator VET Vocational Education and Training 94

GLOSSARY OF TERMS This glossary is provided for the purpose of an existing higher education provider applying to change their provider category to Australian University College ; Australian University ; or Australian University of Specialisation or for an applicant seeking registration for the first time with TEQSA as an Australian University College. The glossary is based on a range of sources, including the TEQSA Act; Australian Qualifications Framework; ESOS National Code 2007; AUQA publications; Office for Learning and Teaching resources (including ALTC publications); DEEWR s HEIMS HELP glossary; and the Higher Education Provider Guidelines. Academic governance is a subset of the overall governance of an education organisation, and deals with the framework that regulates academic decisions and academic quality assurance within the organisation. Academic governance includes the policies, processes, definitions of roles, relationships, systems, strategies and resources that ensure academic standards and continuous improvement in academic activities, and is concerned with the integrity and quality of the core higher education activities of teaching, research and scholarship. Academic staff a member of staff of a higher education provider who is appointed wholly or principally to undertake a teaching and/or research function. For definition of member of staff refer to DEEWR s HEIMS glossary at http://heimshelp.deewr. gov.au/sites/heimshelp/resources/glossary/pages/ glossaryterm?title=member of Staff Academic standards an agreed specification (such as a defined benchmark or indicator) that is used as a definition of a level of performance or achievement, rule, or guideline. Standards may apply to academic outcomes, such as student or graduate achievement of core discipline knowledge and core discipline skills (known as learning outcomes), or to academic processes such as student selection, teaching, research supervision, and assessment. Accredited course means a course of study that: z If a registered higher education provider is authorised to self-accredit the course of study is accredited by the provider; and z Otherwise is accredited by TEQSA. AQF Qualification is the result of an accredited complete course of study that leads to formal certification that a graduate has achieved learning outcomes as described in the AQF. Articulation arrangements create a defined pathway that enables a student to progress from a completed course of study to another course of study with admission and/or credit. Assessment a process to determine a student s achievement of identified learning outcomes and may include a range of written and oral methods and practice or demonstration. Australian Accounting Standards standards made by the Australian Accounting Standards Board under section 334 of the Corporations Act 2001. Benchmarking involves the comparison of performance outcomes and/or processes with other institutions with a view to improvement. Campus The physical location from where a course of study is being delivered. This location may or may not be owned by the Higher Education Provider which enrols the student. For e-learning (online) or other distance education courses this would be the location at where the electronic course material is maintained. Casual Staff staff who are engaged and paid on an hourly or sessional basis, and who have no entitlement to paid annual leave, paid sick leave or paid long service leave. Commencing Student has the meaning given by DEEWR s HEIMSHELP at : http://heimshelp.deewr. gov.au/sites/heimshelp/resources/glossary/pages/ glossaryterm?title=commencing Student Course of study means: z a single course leading to an Australian higher education award, or z a course recognised by the higher education provider at which the course is undertaken as a combined or double course leading to one or more Australian higher education awards, or z a single course leading to an overseas higher education award, or z a course recognised by the higher education provider at which the course is undertaken as a combined or double course leading to one or more overseas higher education awards. 95

CRICOS The Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS) is the register prescribed under section 10 of the Education Services for Overseas Students Act 2000. Delivery location (or delivery site) see campus. Education or related services includes any services (directly or indirectly) related to the delivery of accredited and non-accredited education in any mode in any location in the world. Examples include higher education; vocational education and training; student learning support services; short courses; and English language instruction as well as any educational support services including those related to delivery infrastructure such as electronic platforms and provision of student services. EFTSL One Equivalent Full-Time Student Load is a measure of the study load, for a year, of a student undertaking a course of study on a full time basis. E-learning involves electronically designed use of any digital technology or resources to deliver and support specific teaching and learning aims and outcomes. Also referred to as online learning. Field of Education as defined by the Australian Standard Classification of Education (ASCED), available at: http://www.ausstats.abs.gov.au/ausstats/free.ns f/0/2d08d604cc032093ca256aaf0080766f/$fi le/12720_2001.pdf Financial sustainability financial resources and financial management capacity to sustain higher education provision consistent with the Provider Registration Standards. Governing body the body with ultimate decision making authority over the higher education provider and its higher education operations. Gross Floor Area the sum of the fully enclosed covered area and unenclosed covered area, as defined by the Tertiary Education Facilities Management Association, available at http://www.tefma.com/. Higher education award means: z A diploma, advanced diploma, associate degree, bachelor degree, graduate certificate, graduate diploma, masters degree or doctoral degree, or z qualification covered by level 5, 6, 7, 8, 9 or 10 of the Australian Qualifications Framework, or z an award of a similar kind, or represented as being of a similar kind, to any of the above awards, other than an award offered or conferred for the completion of a vocational education and training course. Higher education provider means: z A constitutional corporation that offers or confers a regulated higher education award, or z A corporation that: ʱʱ ʱʱ offers or confers a regulated higher education award; and is established by or under a law of the Commonwealth or a Territory; or z A person who offers or confers a regulated higher education award for the completion of a course of study provided wholly or partly in a Territory. Higher Education Services includes functions such as: delivery of teaching and learning services (including student assessment); student learning support (such as access to library materials, academic learning support, and English language support); personal student support services (such as career services, advocacy, counselling, accommodation services, health and welfare services); marketing, advertising and promotion of course(s) of study; student recruitment; maintenance and/or access to electronic resources and/or websites to support higher education operations; maintaining student data; student admission services; provision of teaching and learning or research facilities; student complaint management; and research supervision. HECS A scheme that includes up-front payment discounts and loans to help eligible Commonwealth supported students pay their student contributions. Joint Degree - A higher education degree (as described in the Australian Qualifications Framework) awarded through an agreement between two or more higher education providers. Key Personnel includes senior executive officers such as: the Principal/Chief Executive Officer, Academic Director (or other senior executive officer with primary responsibility for academic operations); and others who will: z make decisions about the governance, management or direction of the academic and corporate operations of a higher education provider, or z exercise a notable degree of control or influence over the decision making about the governance, management or direction of the academic and corporate operations of a higher education provider. Learning outcomes Learning outcomes are the expression of the set of knowledge, skills and the application of the knowledge and skills a person has acquired and is able to demonstrate as a result of learning. Mode of study includes attendance face-to-face in a classroom, supervised study on a higher education provider s campus, distance learning, work-based learning, e-learning and online learning. 96

Principal place of business the address from which the business of the higher education provider will be controlled and managed. Provider Category means a provider category listed in the Provider Category Standards, available at http:// www.comlaw.gov.au/details/f2012l00003/download Provider Category Standards means the Provider Category Standards made under paragraph 58(1)(b) of the Tertiary Education Quality and Standards Agency Act 2011. Provider Course Accreditation Standards means the Provider Course Accreditation Standards made under paragraph 58(1)(c) of the Tertiary Education Quality and Standards Agency Act 2011. Provider Registration Standards means the Provider Registration Standards made under paragraph 58(1)(a) of the Tertiary Education Quality and Standards Agency Act 2011 fine Qualified auditor means: z The Auditor-General of a State, of the Australian Capital Territory or of the Northern Territory; or z A person registered as a company auditor or a public accountant under a law in force in a State, the Australian Capital Territory or the Northern Territory; or z A member of the Institute of Chartered Accountants in Australia, or of the Australian Society of Certified Practising Accountants; or z A person approved by TEQSA under subsection 27(4) of the Tertiary Education Quality and Standards Agency Act 2011. Register means the National Register of Higher Education Providers established and maintained under section 198 of the Tertiary Education Quality and Standards Agency Act 2011. Registered higher education provider means a higher education provider registered under Part 3 of the Tertiary Education Quality and Standards Agency Act 2011 and listed on the Register under paragraph 198(1)(a) of the Act. Registered Training Organisation means a training organisation that is listed as a registered training organisation on the National Register referred to in section 216 of the National Vocational Education and Training Regulator Act 2011. Reviewable decision means a decision covered by section 183 of the Tertiary Education Quality and Standards Agency Act 2011. RTS (Research Training Scheme) aims to recognise and reward those higher education provider that provide high-quality research training environments and support excellent and diverse research activities. Information about the scheme is available at http:// heimshelp.deewr.gov.au/sites/heimshelp/resources/ glossary/pages/glossaryterm?title=research Training Scheme (RTS) Subject A subject is a discrete unit of study and a combination of subjects make up a course of study. Support Staff a member of staff of a higher education provider without an academic staff classification and who provide support functions for teaching and/ or research activities. Examples of support functions include: management; academic learning support; English language support; academic learning support; student counselling; librarian; IT support; laboratory assistance; technical assistance; general administrative functions; and student administration functions such as student advice, student admissions, student enrolments and student graduations. Study Mode refer to mode of study. TEQSA means the Tertiary Education Quality and Standards Agency, the body established by section 132 of the Tertiary Education Quality and Standards Agency Act 2011. Testamur A testamur is an official certification document that confirms that a qualification has been awarded to an individual. In Australia this may be called an award, parchment, laureate or certificate. Third party, agent or partner arrangements means where a higher education provider has, or intends to have, any aspect of its higher education services carried out on its behalf through a partner, agent or third party arrangement. A third party, agent or partner arrangement may include, for example: partnerships with other institutions, higher education providers, or entities; the formation of joint ventures or special purpose companies; sub-contracting of services; or franchising arrangements. Threshold Standards means: z the Provider Standards, which are: ʱʱ The Provider Registration Standards; and ʱʱ The Provider Category Standards; and ʱʱ The Provider Course Accreditation Standards; z The Qualification Standards. Unit see subject. 97