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stephen schollum academic adviser school of business bay of plenty polytechnic tauranga new zealand


Stephen Schollum

Academic Adviser, School of Business, Bay of Plenty Polytechnic,

Tauranga, New Zealand

  • Paper identifies New Zealand’s recent regulation and policy approaches to steering the tertiary education sector/system
  • Paper identifies ‘steering’ mechanisms for the NZDipBus programme and the directions provided in recent NZQA Guidelines as to local paper prescriptions.
  • Paper questions whether the current opportunities for steering should be according to national priorities and policies and/or local initiatives


  • Represent personal viewpoint (not employer’s)
  • Does not contain legal advice
  • Given in ‘Chatham House’ rules environment
  • Premise:

That teaching excellence for business success will result from tutors influencing relevance of business content; that local content will have relevance for local institutions and students

  • Education Amendment Act 1990 (Education Act 1989)
  • ‘Enabling’ style and prescriptive detail
  • Principles of
    • Autonomy
    • Accountability
  • ‘Seamless’ education
government steering mechanisms
Government ‘steering’ mechanisms
  • Regulation
  • Policy
  • Funding
  • Purchase
  • Fiscal measures (including Taxation)
  • Ownership
  • Appointments
  • Networks
  • ‘persuasion (threat and exhortation’)
  • Provision
summary of 15 years
Summary of 15 years
  • ‘Regulatory re-engagement’ by the state
  • Move to centralist steering and Ministerial determination and intervention arising from
    • Concerns about financial risk to Government
    • Criticism of wasteful effects of competition
    • Belief that paradigm shift required
  • Shift in focus from high trust ex post accountability model to low trust ex ante accountability environment
legislation enables and determines
Legislation enables and determines
  • Structure
  • Players: appointments, duties and powers
  • Direction
  • Compliance
  • Operations and operational environment
  • Constraints
  • Funding mechanisms
  • Accountability
education legislation education act 1989
Education Legislation: Education Act 1989

Enacted in 1990: Education Amendment Act 1990 –

an amendment to and extension of the Education Act 1989, reinforcing the concept of ‘seamless’ education, rather than located in a separate tertiary education act

The Education Act 1989 provides that TEIs are to be governed by Councils made up of representatives and appointees (S.165, 171).

The council’s first statutory duty is to appoint the Chief Executive who is the employer of all staff (S.180(a)).

section 181 provides that
Section 181, provides that

“it is the duty of the Council of an institution, in the performance of its functions and the exercise of its powers,-

  • To strive to ensure that theinstitution attains the highest standards of excellence in education, training, and research; …
  • (e) To ensure that systems are established for the coordination of, and accountability for, activities within the institution to ensure the responsible use of public resources
  • To ensure that proper standards of integrity, conduct, and concern for-
    • the public interest; and
    • the wellbeing of students attending the institution-
  • are maintained”.
section 180 lists other functions of council namely
Section 180 lists other functions of Council, namely
  • to prepare, negotiate and adopt a charter for the institution:
  • (c) to adopt a profile for the institution
  • (d) to ensure that the institution is managed in accordance with its charter and its profile:
  • (e) to determine the policies of the institution in relation to the implementation of its charter, the carrying out of its profile, and …the management of its affairs.’
  • These provisions establish a hierarchy of documentation, as explained below.


a hierarchy of documentation
a hierarchy of documentation
  • An Institution’s Statute, Quality Management System (QMS), Council Policies, as well as its Charter and Profile.
  • Section 193(1) of The Education Act 1989 states that the “Council of an institution has all the powers reasonably necessary to enable it to perform its functions efficiently and effectively.”
  • Section 194 enables a Council to make statutes for various reasons, including

(a) the good government and discipline of the institution.

hierarchy of formal documentation cont d
hierarchy of formal documentation cont’d

TEIs’ operational authority and status is usually contained within in a hierarchy of formal documentation:

  • An Institution’s Statute(s), including Academic and Discipline Statutes,
  • Council Policies,
  • Quality Management System (QMS),
  • Charter, Profile,
  • Academic Strategic Plans,
  • Programme Regulations, and
  • Terms of Reference for Designated Committees/sub-committees.
new zealand s regulatory and policy approach steering by regulation
  • Education (Tertiary Reform) Amendment Act 2002
  • Introductory note: “give effect to the government’s decision on the reform of the whole tertiary education system”
  • Intention:
    • more strategic use of resources through a more co-operative and collaborative sector ,
    • encourage greater focus on excellence in teaching, learning and research
    • more constructive partnerships between key participants
    • better managed institutions
key steering mechanisms
Key ‘steering’ mechanisms
  • New Crown entity: Tertiary Education Commission (TEC)
  • Tertiary Education Strategy (TES) NB V2 now out for discussion and consultation
  • Statement of Tertiary Education Priorities (STEP)
  • (more focus on) Charters
  • Profiles
  • Risk Assessment Criteria
  • ‘Fees maxima’
tertiary education commission tec part 13a s 159a 159k
Tertiary Education Commission (TEC) Part 13A S.159A – 159K
  • Part 13A: (Not Part XIIIA)
  • Enable the Government to “exercise leadership of the tertiary education sector to ensure the strategic use of resources
  • Establish TEC
    • Membership 6-9
tertiary education strategy tes s 159aa
Tertiary Education Strategy (TES) S.159AA
  • Sets out the Government’s medium-to- long term strategy, addressing
    • economic, social and environmental contexts
    • development aspirations of Maori and other population groups
    • Greater alignment with national goals and national interest
    • Increased responsiveness to the needs of, and wider access for, learners

NB New TES now open for consultation

tertiary education strategy tes continued
Tertiary Education Strategy (TES)continued
  • Minister must
    • give public notice of it
    • Present a copy to the House of Representatives.
      • NB Copy published May 2002 (before Act) therefore no public note or presentation to HR [May 2002 – 69 pages]
  • Six strategies
  • 34 Objectives
  • Development of
    • Outcomes and Performance Measures
six strategies continued
Six strategies:(continued)
  • Strengthen System Capability and Quality
  • Contribute to the Achievement of Maori Development Aspirations (Te Rautaki Matauranga Maori)
  • Raise Foundation Skills so that all people can participate in our Knowledge Society
  • Develop the skills New Zealanders need for our Knowledge Society
  • Educate for Pacific Peoples’ Development and Success
  • Strengthen Research, Knowledge Creation and Uptake for our Knowledge Society
statement of tertiary education priorities step s 159ac
Statement of Tertiary Education Priorities (STEP)S.159AC
  • Issued every three years –after consultation with TEC
  • Sets out Government’s current priorities

Public Notice

#1- NZ Gazette 7 August 2003 No. 94 p2470]

      • [made Sat 2nd August 2003]

#2 - NZ Gazette 7 April 2005 No. 62 p1549]

Copy presented to HR ? [S.159AC(4)(b)]

charters purpose
Charters - Purpose
  • [Required by all TEOs seeking funding]
  • Sets out the TEI’s mission and role over the medium- to long- term
  • Provides the basis for the development of the Profile
  • Minister may prescribe contents and assessment criteria (S.159M)
    • [Public Notices set out contents and criteria]
charters contents
Charters - contents
  • Authority: Education (Charters for Tertiary Education Organisations) Notice 2003

[NZ Gazette, 29 May 2003, No 57 1604]

  • Contents:
    • Mission
    • Special character
    • Contribution to NZ’s identity and economic, social cultural development
    • Contribution to the tertiary education system
    • Approach to collaboration and co-operation
charters contents continued
Charters – contentscontinued
    • Approach to fulfilling Treaty of Waitangi obligations
    • Approach to meeting needs of Pacific people
    • Approach to meeting educational needs of learners
    • Ensuring staff profile reflects it mission and special character
    • Governance and management structure and principles
    • Consultation undertaken in preparation of Charter
  • Consultation—
  • Identification of stakeholders (S.1590)
  • Ministerial power of approval (S.159P)
profiles s 159w
Profiles (S.159W)
  • Prepared annually (for submission to TEC)
  • Sets out TEO’s
    • operating plans, key policies, and proposed activities for next 3 years
    • objectives, performance measures and targets
    • short- to medium-term strategic direction
  • Identifies activities for funding
  • Identifies how TE will give effect to Charter
profiles s 159w continued
Profiles (S.159W)continued
  • Notice: Requirements and Exemptions
  • Notice Education (Profiles 2007-09 for Tertiary Education Organisations) Notice

Refer: NZ Gazette, New Zealand Gazette 02/03/2006

  • Available:
  • A range of Profile resources have been developed for different types of Tertiary Education Organisations (TEOs). These resources include profile guidelines and templates, criteria and content documents, plus a range of other tools, registers and schedules.
assessment of strategic relevance asr s 159m 2
Assessment of Strategic Relevance (ASR)(S.159M(2))
  • Minister may prescribe standards content and criteria [for assessment] (S.159M(2))
  • TEC will assess Charters against the following gazetted [?] criteria:
  • The Tertiary Education Organisation’s (TEO’s) Charter has been the product of a robust and comprehensive strategic planning process and in particular in preparing its Charter the TEO has identified:
    • its current and future student profile
    • the medium to long term economic, demographic and other trends likely to impact on the educational needs of its learners and other stakeholders
asr continued
  • the medium to long term challenges and opportunities facing the TEO, including the risks posed to its capability
  • how the TEO will respond to its environmental assessment, including the capability development required to achieve its strategic outcomes
  • the number and nature of parties that the TEO identifies as its stakeholders are appropriate to the TEOs portfolio, size, location and mission.
  • The TEO has outlined its core set of strategic outcomes and the strategic targets and/or benchmarks that it will use to indicate success.
asr by tec continued
ASR by TECcontinued
  • The TEO has demonstrated that its mission, special character, and strategic outcomes will contribute to the Tertiary Education Strategy and other of the government's national strategies.
  • The TEO’s Charter articulates a strategic positioning that is selective, focussed and clearly differentiates it from other comparable TEOs at a local, regional or national level as appropriate, and complements and reinforces other activity in the tertiary system.
tec funding guide
TEC Funding Guide
  • 2006 Tertiary Funding Guide
  • approx 200 pages
  • Describes the legislation, policies, rules, and conditions under which the TEC allocates and delivers funding to the tertiary education sector
  • The broad rules of the relevant funding mechanism determined by the Minister under sections 159ZA(1) and (2) of the Education Act 1989 (the Act).
  • The detailed implementation rules

of the relevant funding mechanism

determined by the TEC under S.159ZA(5)

funding guide continued
Funding Guidecontinued
  • Conditions imposed by the TEC under the Minister’s directive under S.159ZA(2)(e).
  • Conditions imposed by the TEC under S.159ZD(2) .
  • The financial, statistical, or other information required to be supplied by TEOs to the TEC as a condition imposed under S.159ZD(1).
  • Other financial information and records required to be kept or supplied under S.159ZE (non-Tertiary Education Institutions (non-TEIs)), or S.203 (TEIs).
  • Note: There may be occasions when the TEC will require additional information under section 159ZD(1) that has not been set out in the Funding Guide.
an institution s qms now incorporates itpnz s twelve standards which relate to the following
An Institution’s QMS now incorporates ITPNZ’s twelve Standards which relate to the following:
  • Institutional academic quality management
  • Development and review of qualifications and educational programmes
  • Financial, administrative and physical resources
  • Human resources, staff selection, appraisal and development
  • Student information and admission to programmes
  • Student guidance and support
  • Programme delivery
  • Off-site practical/workplace components
  • Assessment and moderation
  • Reporting and certification
  • Research
  • Internal audit and review
other principal government steering mechanisms
Other principal Government steering mechanisms
  • includes Policy, Funding, Exhortation, and Networks, often through Government appointments onto national bodies, or local TEI Councils.
  • Policy and funding are often interlinked, usually emanating from Government Budget announcements. Implementation and detail is often provided by intermediary bodies, such as Tertiary Education Commission (TEC) and NZQA.
  • Funding for new developments aimed at strengthening relationships with the local community (obviously including the business community) are often provide by other Government Departments and Agencies
recent nzqa changes to the new zealand diploma in business nzdipbus regulations
Recent NZQA changes to the New Zealand Diploma in Business (NZDipBus) Regulations
  • April 2006, NZQA published as an Appendix to Credit Transfer Rule change and Prescription approval Guidelines, Guidelines on Credit Transfer and Unspecified Credit 2006
  • This made provision for a local prescription developed by an individual TEO for use by that TEO to be recognised as part of the 12 papers required for completion of the NZDipBus
  • A student may complete two such local prescriptions towards achievement of the qualification

The Guidelines require that any proposed new prescription also requires endorsement and recommendation to NZQA by the NACBS prescriptions sub-committee

The current approval process is:

  • the TEO develops a proposal for an NZDipBus prescription to be offered by that institution.
  • the proposed prescription is endorsed by the NACBS (the prescriptions sub-committee) as an unspecified credit at a particular level.
  • the NACBS endorse, or not, the proposal and make a recommendation to NZQA for approval, or not.
  • NZQA notifies the TEO of the outcome of the application for approval.
requirements in detail
Requirements in detail
  • Key stakeholder (industry, academic, student) perspectives are considered.
  • NZDipBus qualification aims/purpose are maintained and supported.
  • Timelines of decision making ensure stakeholder expectations are met.
  • A clear and transparent decision-making process against published and publicised criteria.
  • Also, endorsement and support of Local Advisory Committee (LAC)
following criteria will be applied evidence must be provided for each criterion
Following criteria will be applied. Evidence must be provided for each criterion


  • Consistent with and contributes to the Graduate Profile
  • Rationale/ purpose clearly articulates the basis for the development
  • Level and fit within NZDipBus qualification structure
  • Design coherent, technical accuracy, manageable, assessable, flexible
  • considers principles of the Treaty of Waitangi
  • Industry and stakeholder endorsement.
in addition
In addition:

TEOs must have documented internal policies and procedures relating to credit transfer as appropriate and required by:

  • Element 5.1 (b) of the Criteria, Requirements and Guidelinesfor Course Approvals and Accreditation
  • Element 5.3 Institutes of Technology and Polytechnics(ITP) NZ Academic Quality Standards.

Changes made by the Planning and Development sub-committee of the National Advisory Committee of Business Studies (NACBS) on 11 April 2005.

The NZQA Board approved these changes on 21 October 2005.

other relevant nzqa policy the role of the local advisory committee lac
Other relevant NZQA Policy – The role of the Local Advisory Committee (LAC)
  • Government policy, certainly NZQZA policy, is that a well functioning Local Advisory Committee (LAC) is important to ‘steer’ Institutions’ programmes
  • The key policy directive is contained in the December 2005 NZQA Tertiary Assessment and Moderation (T2005/02)

“Section 6.3 of the Assessment and Certification Rules and Procedures For Tertiary Qualifications notes that:

lac requirements
LAC requirements
  • “Each teaching institution accredited to offer NZDipBus programmes is required to have one or more Local Advisory Committees for Business Studies.
  • The membership of local advisory committees shall include members of the local business and professional community, members of the teaching staff of the institution (who shall overall not comprise more than one third of the membership), and students enrolled at the teaching institution.
  • Each local advisory committee shall determine its own composition.
lac reporting
LAC reporting

“NZQA requires a local advisory committee to report on its activities for the past year. In particular on how it carried out its functions, as noted in the rules, and any issues that arose. The report form is provided in appendix III. This report must be sent to Tertiary Assessment and Moderation, NZQA, by 30 January 2006 [200x]

This Report of the Local Advisory Committee requires reporting on such matters as

  • list of all LAC members, including staff and students, with mention, where applicable, of their representation, including organisation and occupation.
  • Number of meetings held during year;
  • Issues discussed: viz:
    • Please list matters discussed by the Committee (relevant to NZDipBus):
  • (Attach at least one set of LAC meeting minutes from the current year)
overview and challenges for nzdipbus staff
Overview and Challenges for NZDipBus staff

In this paper I have endeavoured to identify essential sources of authority in regulation and policy, relating to the identification, development and offering of local prescriptions to meet local industry and student needs.

I have also identified the source of steering ‘from above’

The challenge for TEOs is to use this entitlement;

they must identify, then have approved and deliver local prescriptions which reflect teaching excellence for business success and thus contribute to our students’ meeting the NZDipBus Graduate profile

challenge to teos and staff
Challenge to TEOs and staff

In meeting this challenge, TEOs have to decide whether requirements to make the NZDipBus meaningful for its students either will come from above,

ie from national representative bodies, perhaps reflecting and implementing government policies and interests,

or will come from local initiatives designed to meet local demands and requirements.

The collateral challenge is to be informed on what is in your institution’s Charter and Profile, and to contribute to the direction your institution is proposing to go.

shaping and steering your vision
Shaping and steering your vision

The Charter and Profile will invariably be written and shaped by senior management;

thus if you want to shape and steer your NZDipBus programme, and introduce relevant required and respected local prescriptions,

you will have to ensure that the Profile accommodates the intended direction and that your Local Advisory Committee shares and supports your vision


The opinions in this paper and presentation are personal opinions and are not to be deemed and reflect my employer’s viewpoints.

  • Stephen Schollum, September 2006