A996606
Tertiary Education Commi the
ssion
1982
Audit Report
Act
under
The Catholic Institute of Aotearoa New Zealand –
Te Pūtahi Katorika ki Aotearoa
Student Achievement Component Funding
Released
Information
Official
Edumis Number: 8498
Audit Date: 12 - 14 April 2016
Draft Report Release Date: 22 April 2016
Final Report Release Date: 09 May 2016
1 Purpose
The purpose of the audit was to provide assurance that The Catholic Institute of
Aotearoa New Zealand – Te Pūtahi Katorika ki Aotearoa (TCI) is meeting the
Investment Plan Funding Conditions as referred to in the Tertiary Education
Commission (TEC) letters of approval dated 4 December 2014 and 21 December
2015. The funding approved includes Student Achievement Component funding.
2 Scope
The scope of the audit was aligned to the performance commitments in the TEC
Investment Plan and the associated funding obligations between TEC and
TCI. The scope was outlined in the audit arrangements letter.
The focus areas included:
The reporting through the Single Data Return, includi the
ng recording enr 1982
olments
and withdrawals.
The Annual Maximum Fee Movement (AMFM) policy rel
overcharged.
The financial support for the equipment infrastructure req Act
ating to fees and
course costs.
The refund of fees that have been under uired to deliver the
approved qualifications.
Whether inducements or benefits have been provided to students.
Responsibility for subcontracting arrangements.
Compliance with the requirements in Part 18 of the Education Act 1989.
Any other TEC funding matters.
An audit is a snapshot of an organisation’s performance at a particular point in
time and may not, as such, provide a view of ongoing compliance. An audit is
based on sampling and issues may remain undetected. The outcome of this audit
wil contribute to decisions made by TEC relating to current and future funding.
3 Backg
This Released
round
Information
audit is part of TEC’s ongoing monitoring of Tertiary Education
Organisations.
TCI is a Private Training Establishment (PTE) based in Wel ington with delivery
sites throughout New Zealand. Programmes are also offered through distance
Official
delivery.
The organisation receives Student Achievement Component funding for the
following qualifications:
PC9298 Diploma in Pastoral Leadership (Level 6)
PC2703 Certificate in Catechetical Studies (Level 5)
PC2704 Diploma in Religious Studies (Level 6)
PC9637 Certificate in Pastoral Ministry (Hospitals) (Level 5).
2
The four local qualifications expire in mid-2017. Students wil have a further 18
months in which to complete their local qualification.
TCI has been involved in the Targeted Review of Qualifications (TRoQ) and
intends to replace the programmes with New Zealand qualifications at levels 5
and 6.
The table below provides a breakdown of 2015 and 2016 allocated funding:
Fund
2015
2016
($ GST exclusive)
($ GST exclusive)
Investment Plan
Student Achievement
$ 287,932
$ 287,932
Component
Total
$ 287,932
the
$ 287,932
1982
Act
under
Released
Information
Official
3
4 Findings
The findings were:
There is no formal delegation for signing the Single Data Return attestation.
Al enrolment forms in the sample of records reviewed had been signed by
the student but most had not been counter-signed by the PTE.
Students enrolling in programmes can be enrolled in face-to-face or distance
learning courses. This is explained by some delivery sites not offering all
programmes or students electing to study some of their courses by distance
learning. The result is that students can be reported i the
n the Single D
1982
ata Return
at a specific site and as distance learners (code 98).
Students enrolling in courses of personal interest (and not intending to
complete a formal qualification) are reported as domestic fee-paying students
(code 03). This complies with the new 2016 funding condi
are awarded a certificat Act
tion that requires all
students to be reported through the Single Data Return. The funding
condition is
SDR001 (PTE): TEO to supply information and report to the TEC.
Students enrolled in this manner under e after attending two
courses. This is a certificate of attendance only.
TCI is anticipating, but has not yet modelled, spikes in Education
Performance as a consequence of changing from local to New Zealand
qualifications.
5 Recommendations
The recommendations were:
A Released
delegation shoul
Information
d be formalised to authorise the Single Data Return
attestation.
The design of the enrolment forms should be reviewed to ensure both the
student and the PTE sign the enrolment form.
The TEC to note that a proportion of students are reported as being both
distance learning and face-to-face delivery. 148 students were reported in
Official
the December 2015 Single Data Return in courses with face-to-face delivery
while 93 students were reported in distance learning. The student count was
201 but the combined total of 241 was for face-to-face and distance learning.
TCI should review the information on page 6 of the 2016 Prospectus, under
the heading, Courses for Personal Interest, and confirm with the TEC that
such students are not enrolled in, and intending to complete, a formal
qualification.
4
The impact on Educational Performance for 2016, 2017 and 2018 is modelled
as TCI moves from local to New Zealand qualifications. The TEC should be
kept informed of variations to performance that otherwise could negatively
impact future funding where Educational Performance Indicators fall below
funding thresholds. This advice should be formally communicated to the TEC.
the 1982
Act
under
Released
Information
Official
5
Part Two
Findings
Detailed findings are summarised in each of the audit focus areas.
Overview
201 Student Achievement Component funding students were reported in the December 2015
SDR.
A sample of 21 Student Achievement Component funding student records was selected for
audit. Al records reviewed were valid for funding purposes.
Four interviews were held with the Director / Head of Learning and Teaching, Head of
Student and Business Support, Registrar, and, Hamilton Site Co-ordinator and Lecturer.
Audit focus areas
Evidence sight the
ed
1982
1. The reporting
Student Management System
through the
Single Data
TCI uses a commercial database student management system,
Return,
Artena, which is software certified by the Ministry of Education for
including
the Single Data Return. It is used to load
completions.
Act
enrolments and report
recording
enrolments
and
Segregation of Dutunder
withdrawals.
ies
Controls are in place to ensure there is segregation of duties
between the data input of enrolment information into the Student
Management System, updating course completions and
withdrawals, checking the Single Data Return until it is error free
and signing the attestation prior to submitting it.
There is no formal delegation for signing the Single Data Return
attestation. The attestation is signed off either by the Head of
Released
S Information
tudent and Business Support, or, the Director / Head of Learning
and Teaching.
A delegation should be formalised to authorise the Single Data
Return attestation.
Domestic Student Status Al 21 student records in the audit sample reviewed were valid
Official enrolments for funding purposes and domestic student status
confirmed.
Prior Learning
TCI has satisfactory systems in place when considering
Recognition of Prior Learning. There were two records in the
sample where prior learning was recognised and the decisions
were wel documented and approved by the Head of Learning and
Teaching.
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Enrolment forms
Al enrolment forms in the sample of records reviewed had been
signed by the student but most had not been counter-signed by the
PTE.
The design of the enrolment forms should be reviewed to ensure
both the student and the PTE sign the enrolment form. The signing
by both parties confirms a contract between the student and the
organisation.
2. The Annual
TCI is complying with the Annual Maximum Fee Movement Policy.
Maximum Fee
Movement
policy relating
to fees and
course costs.
3. The refund of
There was no evidence that students have been overcharged fees.
fees that have
been
the
overcharged.
1982
4. The financial
Students were not required to individually purchase any item of
support for the
hardware or equipment necessary to gain the approved
equipment
qualification.
infrastructure
Act
required to
deliver the
under
approved
qualifications.
5. Whether
From the sample of records reviewed there was no evidence of any
inducements or
student being provided with an inducement or benefit to study.
benefits have
been provided
to students.
6. Respo
There was no subcontracting of education provision.
arrangeReleased
nsibility
for
subcontracting
Information
ments.
7. Compliance
The overal standard of recordkeeping for enrolment and academic
with
records was reviewed as good. Al records selected for review
requirements
were available.
in Official
Part 18 of
Education Act
Part 18 of the Education Act 1989 includes, but is not limited to
1989.
student programme information and records.
The organisation securely stores student records.
Programme approval documentation from NZQA was sighted for
the programmes that are funded by the TEC.
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8. Any other TEC
Delivery sites and distance learning
funding
matters.
Students can be enrol ed in face-to-face or distance learning
programmes. This is explained by some delivery sites not offering
all programmes or students electing to study some of their courses
by distance learning.
The result is that students can be reported in the Single Data
Return at a specific site and distance learning (code 98).
Courses of Personal Interest
Students enrolling in courses of personal interest (and not intending
to complete a formal qualification) are reported as domestic fee-
paying students (code 03).
This complies with the new 2016 fun the
ding condition that 1982
requires all
students to be reported through the Single Data Return. The
funding condition is
SDR001 (PTE): TEO to supply information and
report to the TEC.
Students enrolled in this manner are awar
TCI reviews the information on page 6 of Act
ded a Certificate of
Personal Interest after attending two courses. This is a certificate
of attendance only.
under the 2016 Prospectus,
under the heading, Courses for Personal Interest, and confirms with
the TEC that such students are not enrolled in and intending to
complete a formal qualification.
Modelling changes to Educational Performance
TCI is anticipating, but has not yet modelled, spikes in Education
Performance as a consequence of changing from local to New
Zealand qualifications and encouraging current students to
complete in a timely manner.
Released
T Information
he impact on Educational Performance should be modelled as TCI
moves from local to New Zealand qualifications. The TEC should
be kept informed of variations to performance for 2016, 2017 and
2018 that otherwise could negatively impact on future funding
where Educational Performance Indicators fall below funding
thresholds.
This advice should be formally communicated to the TEC advisor
responsible for TCI so that it is recorded in the TEC’s system
Official Tertiary Contact Management (TCM).
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