KPI 4 – COMPLIANCE AND MONITORING APPROACHES ARE STREAMLINED AND COORDINATED Measure Output/activity-based evidence Self-assessment methodology (evidence to be collected) 4.1 ESOS Regulator (for Schools)’s information requests are tailored, and only made when necessary to secure regulatory objectives, and only in a way that minimises impact. 4.1.1 Tailor requests for information and only make requests when necessary. 4.1.2 Improve support to providers’ compliance through education and discussion of identified issues Only request for information in relation to high risk factors, and focus on providers with serious compliance issues Share quarterly PRISMS Risk Matrix information with relevant regulators (i.e. State DAs) when it becomes available 4.2 ESOS Regulator (for Schools)’s frequency of information collection is minimised and coordinated with similar processes including those of other regulators so that, as far as possible, similar information is only requested once. 4.2.1 Conduct its compliance monitoring visits in conjunction with State DAs, and also invite ASQA and/or TEQSA if the regulated entity is a dual or multi sector provider. Have meetings/teleconferences with State DAs and ASQA (and/or TEQSA for multi-sector providers) before any monitoring visits to ensure a streamlined approach Share relevant information with DIBP where possible 4.3 ESOS Regulator (for Schools) base monitoring and inspection approaches on risk and, where possible, take into account the circumstance and operational needs of the regulated entity. 4.4.1 Only visit or desk top audit providers identified as having serious (or large number or proportion of) non-compliance issues; or in response to referrals received from other relevant regulators. Liaise with State/Territory DAs and peak bodies on a regular basis Have a multi-sector working group meeting at least once a year – to review multi-sector providers’ compliance and monitoring approaches.
KPI 5 – REGULATORS ARE OPEN AND TRANSPARENT IN THEIR DEALINGS WITH REGULATED ENTITIES Measure Output/activity-based evidence Self-assessment methodology (evidence to be collected) 5.1 ESOS Regulator (for Schools)’s framework is publicly available in a format which is current, clear and accessible. 5.1.1 Publish the risk-based framework on the Internet by 1 July 2015 Make the information available on the internationaleducation.gov.au website Update the information in a timely manner to reflect legislative or administrative changes Develop a streamlined information webpage relating to CRICOS registration, renewal, fees and compliance for schools 5.2 ESOS Regulators’ (for Schools) performance measurement results are published in a timely manner to ensure accountability to the public. 5.2.1 Relevant measurement results against the KPIs for each financial year would be made publicly available as soon as practicable after each financial year Publish the performance results on the internationaleducation.gov.au website annually and in a timely manner
PI 6 – REGULATORS ACTIVELY CONTRIBUTE TO THE CONTINUOUS IMPROVEMENT OF REGULATORY FRAMEWORKS Measure Output/activity-based evidence Self-assessment methodology (evidence to be collected) 6.1 ESOS Regulator (for Schools) establishes cooperative and collaborative relationships with stakeholders to promote trust and improve the efficiency and effectiveness of the regulatory framework. 6.1.1 Have an open, friendly and professional relationship and liaise with all relevant regulators on a regular basis. 6.1.2 Create a growth of awareness among providers regarding compliance with the ESOS legislative framework Have meetings/teleconferences with all relevant regulators prior to any visits Increase the number of joint visits The majority of schools have decreased risk scores compared to the previous year Release relevant information on the Internet Have joint workshops on ESOS compliance as planned 6.2 ESOS Regulator (for Schools) engages stakeholders in the development of options to reduce compliance costs (which could include industry self-regulation, changes to the overarching regulatory framework, or other strategies to streamline monitoring and compliance approaches). 6.2.1 Liaise with stakeholders to avoid duplication of RFIs (requests for information) and coordinate joint visits/workshops Visit all States and provide workshops in all States within 2 years Receive positive feedback from providers about the consultations and the compliance approaches Aim to have a multi-sector regulators working group face-to-face meeting at least once a year 6.3 ESOS Regulator (for Schools) regularly shares feedback from stakeholders about consultations, legislative requirements and regulators’ performance with policy departments to improve the operation of the regulatory framework and administrative processes. 6.3.1 Liaise regularly with the ESOS policy and legislation section of the department and provide feedback. Liaise with policy area on a regular basis regarding feedback from providers. Engage the ESOS policy and