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 4.1.1 Tailor requests for information and Only request for information in relation to high information requests are tailored, and only only make requests when necessary. risk factors, and focus on providers with serious made when necessary to secure regulatory compliance issues objectives, and only in a way that minimises 4.1.2 Improve support to providers’ Share quarterly PRISMS Risk Matrix information impact. compliance through education and discussion of with relevant regulators (i.e. State DAs) when it identified issues becomes available 4.2 ESOS Regulator (for Schools)’s 4.2.1 Conduct its compliance monitoring Have meetings/teleconferences with State DAs and frequency of information collection is visits in conjunction with State DAs, and also ASQA (and/or TEQSA for multi-sector providers) minimised and coordinated with similar invite ASQA and/or TEQSA if the regulated before any monitoring visits to ensure a processes including those of other regulators so entity is a dual or multi sector provider. streamlined approach that, as far as possible, similar information is Share relevant information with DIBP where only requested once. possible 4.3 ESOS Regulator (for Schools) base 4.4.1 Only visit or desk top audit providers Liaise with State/Territory DAs and peak bodies on monitoring and inspection approaches on risk identified as having serious (or large number or a regular basis and, where possible, take into account the proportion of) non-compliance issues; or in Have a multi-sector working group meeting at least circumstance and operational needs of the response to referrals received from other once a year – to review multi-sector providers’ regulated entity. relevant regulators. compliance and monitoring approaches.
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.
ESOS_Agency_for_Schools_RPF_Report_2015-16_21_Dec_16_version.docx