MCEETYA's National Protocols for Higher Education Approval Processes: Part 1 & protocol 1

Background

1.1
Until recently, it was taken for granted that a university in Australia was an institution established by specific legislation. All States and mainland Territories of Australia have legislative or procedural arrangements which effectively require an institution wishing to operate as a university in the State/Territory to be established by the mechanism of a legislative instrument.

1.2
Recently some organisations have sought to use the title ‘university’ in a business name without seeking such formal authorisation.

1.3
To protect the standing of Australian universities nationally and internationally, MCEETYA agreed to protect the title ‘university’ in two ways:

• by protection of the title ‘university’ in business names and associations legislation, and in Commonwealth Corporations Law; and
• by establishment in all Australian jurisdictions of a legislative framework specifying consistent criteria and procedures by which an institution/organisation may use the title ‘university’.

1.4
To establish a common standard and processes for the recognition of universities across Australia, MCEETYA agreed to:

• adopt the common definition of an Australian university shown in 1.13 below;
• adopt the common criteria for the assessment of an organisation’s application for university status listed in 1.14 and 1.15; and
• core elements of the process for evaluating such claims, listed in 1.16-1.22.

Business names and related legislation

1.5
All Australian jurisdictions should provide for the protection of the title ‘university’ under the procedures established for the protection of names in business names and associations legislation; the Commonwealth should adopt appropriate measures to protect the title in Commonwealth Corporations Law.

1.6
Jurisdictions should provide for consultation between the authority responsible for approving business names and the relevant higher education authority (Minister or Director-General) before a decision is made to allow the use of the term ‘university’ in a business or corporation name.

1.7
The relevant higher education authority should undertake an investigation of the education credentials of an applicant before providing advice on the use of the term ‘university’ in a business or corporation name.

University recognition legislation

1.8
Establishment or recognition as a university in Australia should only occur by the mechanism of a legislative instrument, either by a separate Act, or by a Regulation or order made under an Act. The enactment should be subject to scrutiny by the relevant Australian Parliament.

1.9
There should be a legislative framework, in the form of either specific legislation or Ministerial Guidelines, to protect the title ‘university’ and establish a process and criteria by which it becomes possible to use the title ‘university’ in the relevant jurisdiction.

1.10
The scope of the protection of title should extend to prohibition on:

1. use of the title without authorisation in Australia;
2. operating or purporting to operate as a university; and
3. advertising as a university, offering a course as a university, or issuing an award as a university.

1.11
Prohibition of the use of the title should not extend to those bodies where the context makes it clear that there is no connection with an existing university (eg University Avenue Newsagent Pty Ltd).

1.12
Protection of title legislation should provide for the responsible Minister to exempt a body from the requirements of the legislation when it is clear that the purpose of the body could not be construed as providing higher education - as in the case of the University of the Third Age.

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Definition

1.13
An Australian university is an institution which meets nationally agreed criteria and is established or recognised as a university under State, Territory or Commonwealth legislation.

Criteria

1.14
An Australian university will demonstrate the following features:

1. authorisation by law to award higher education qualifications across a range of fields and to set standards for those qualifications which are equivalent to Australian and international standards;
2. teaching and learning that engage with advanced knowledge and inquiry;
3. a culture of sustained scholarship extending from that which informs inquiry and basic teaching and learning, to the creation of new knowledge through research, and original creative endeavour;
4. commitment of teachers, researchers, course designers and assessors to free inquiry and the systematic advancement of knowledge;
5. governance, procedural rules, organisation, admission policies, financial arrangements and quality assurance processes, which are underpinned by the values and goals outlined above, and which are sufficient to ensure the integrity of the institution's academic programs; and
6. sufficient financial and other resources to enable the institution's program to be delivered and sustained into the future.

1.15
These broad criteria should be supported by more elaborated criteria.

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Process for assessing applications

1.16
The process by which an institution is established or recognised as a university should have the following features:

1. the process should be transparent and equitable. Applications to establish ‘public’ and ‘private’ universities should be treated equally;
2. a fee for assessment of an application, based on partial cost recovery, should be charged. National consistency in fee levels is desirable;
3. the application should be subject to review by an independent, expert panel. The panel’s composition should include a majority of senior academic administrators with experience in the Australian university sector, including significant representation from outside the jurisdiction in which the application is made;
4. the review process should involve evaluation against agreed national criteria, on the basis of written material and discussion with proponents of the institution, including academic staff and students, and must include an inspection of facilities where they exist. An evaluation of the financial capacity of the institution to deliver its proposed programs, and to sustain them appropriately, is required; and
5. the review process should be sufficiently open to provide opportunity for public comment on the proposal before the review report is final.

1.17
The panel should report on whether an application should be approved together with any conditions it believes should be established, to a legally authorised decision-maker (Minister, Director-General, relevant Higher Education Board).

1.18
In establishing or recognising an institution, jurisdictions should specify:

1. that the responsible Minister or the authorised delegate of the Minister will have the power to require information of the institution; and
2. that the responsible Minister may set conditions on the institution, such as willingness to participate in periodic review processes, including national quality assurance processes.

Proposed new universities

1.19
For proposed new universities where the assessment is based on a plan, rather than an existing institution, approval may be given to operate on a provisional basis for a period of up to five years from commencement of operation, where the review panel and the responsible accrediting authority believe that there is a high probability of the criteria being fully satisfied.

1.20
The responsible accrediting authority may establish conditions for the operation of the university during this period. These conditions may include a period of sponsorship or mentoring by an established institution.

1.21
Continued operation after the initial five-year period should be conditional on the university meeting the criteria in full. Provision for the welfare of students if the institution is not approved to continue as a university at the completion of this period should be guaranteed.

1.22
Each State and Territory should establish significant financial penalties for breaching the legislation or guidelines which protect the title ‘university’. These penalties might be administered via university recognition legislation and/or fair trading legislation. National consistency in the level of penalties is desirable.

The Register

1.23 An institution which meets agreed national criteria, and is authorised under legislation, will be listed on the Australian Qualifications Framework (AQF)    Register of Bodies with Authority to Issue Qualifications.