Results of audits into funding compliance.
Richard Thorpe made this Official Information request to Tertiary Education Commission
The request was successful.
From: Richard Thorpe
Dear Tertiary Education Commission,
I write to you to request under the Official Information Act 1982 information relating to audits performed or commissioned by the TEC into tertiary education provider's use of government funding, from 2015 until present.
Specifically I request:
1. The total number of audits performed or commissioned by TEC broken down by:
Year,
Type of provider (PTE/ITP/University/Wananga),
Whether the audit was conducted by TEC or by an external party,
How many were completed vs. how many still in progress.
2. How many TEOs are planned to be audited in 2017/2018
3. A list of external auditors engaged by TEC to perform these audits, the number performed by each, and the total paid by the TEC to each for these audits.
4. The final auditors report in any case where the report raised any concerns or made any recommendations relating to the allocation, consumption, use, or monitoring of funding, or which made any reference to the calculation or reporting of learner hours as it relates to funding claimed. If the determination of which auditor reports fit this criteria is prohibitively time consuming, all audit reports 2015 - current would also be acceptable.
Yours faithfully,
Richard Thorpe.
From: TEC Sector Helpdesk
Tertiary Education Commission
Thank you for contacting the Tertiary Education Commission (TEC) – Sector
Helpdesk.
The following case number CAS-174902-5CM5 has been allocated to your
email. Should you wish to contact us regarding this query, either reply
to this email or call the Sector Helpdesk on 0800 601 301 and quote the
case number provided.
We aim to respond to your email by 5:00pm on the next business day
following receipt.
Our hours of business are: 8:30am – 5:00pm, Monday to Friday (excluding
public holidays).
TEC Sector Helpdesk
Operations Directorate
Phone: 0800 601 301
E [1][email address]
PO Box 27-048, Wellington 6141, New Zealand
[2]www.tec.govt.nz
This email is only intended to be read by the named recipient. It may
contain information which is confidential, proprietary or the subject of
legal privilege. If you are not the intended recipient you must delete
this email and may not use any information contained in it. Legal
privilege is not waived because you have read this email.
------------------- Original Message -------------------
From: [FYI request #5425 email]
Received: 22/02/2017 1:58 p.m.
To: TEC Sector Helpdesk
Cc:
Subject: Official Information request - Results of audits into funding
compliance.
Dear Tertiary Education Commission,
I write to you to request under the Official Information Act 1982
information relating to audits performed or commissioned by the TEC into
tertiary education provider's use of government funding, from 2015 until
present.
Specifically I request:
1. The total number of audits performed or commissioned by TEC broken down
by:
Year,
Type of provider (PTE/ITP/University/Wananga),
Whether the audit was conducted by TEC or by an external party,
How many were completed vs. how many still in progress.
2. How many TEOs are planned to be audited in 2017/2018
3. A list of external auditors engaged by TEC to perform these audits, the
number performed by each, and the total paid by the TEC to each for these
audits.
4. The final auditors report in any case where the report raised any
concerns or made any recommendations relating to the allocation,
consumption, use, or monitoring of funding, or which made any reference to
the calculation or reporting of learner hours as it relates to funding
claimed. If the determination of which auditor reports fit this criteria
is prohibitively time consuming, all audit reports 2015 - current would
also be acceptable.
Yours faithfully,
Richard Thorpe.
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From: Hugh McIlraith
Tertiary Education Commission
Dear Richard
Thank you for your email of 22 February 2017 requesting, under the
Official Information Act 1982 (Act), the following:
1. The total number of audits performed or commissioned by TEC
broken down by:
· Year
· Type of provider (PTE/ITP/University/Wananga),
· Whether the audit was conducted by TEC or by an external party,
· How many were completed vs. how many still in progress?
· How many TEOs are planned to be audited in 2017/2018?
2. A list of external auditors engaged by TEC to perform these
audits, the number performed by each, and the total paid by the TEC to
each for these audits.
3. The final auditors report in any case where the report raised
any concerns or made any recommendations relating to the allocation,
consumption, use, or monitoring of funding, or which made any reference to
the calculation or reporting of learner hours as it relates to funding
claimed. If the determination of which auditor reports fit this criteria
is prohibitively time consuming, all audit reports 2015 - current would
also be acceptable.
The Tertiary Education Commission monitors tertiary education
organisations (TEOs) to ensure that their programmes are in line with
funding agreements. As part of our monitoring process, we carry out
audits, reviews and investigations.
Audits are a routine part of our monitoring system and are designed to
ensure that a TEO is meeting its funding conditions. Audits look at
procedures, processes, accuracy of records and how a TEO manages its
statutory obligations and conditions of funding. The TEC has been steadily
increasing its audit capacity. The TEC completed 39 audits in 2015 and
plans to undertake up to 70 audits in 2017.
We generally carry out a review if we receive information about, or become
aware of, an issue relating to a TEO’s activities. This includes issues
identified as part of an audit.
An investigation examines a TEO’s activities in more depth than an audit
or a review, and typically is more likely to be in response to a specific
action, activity or question of conduct identified through an audit,
review or a complaint.
Before the TEC begins work on your request could you please clarify
whether you are seeking information about reviews and investigations
rather than audits?
Please note as the TEC conducts between 35 and 70 audits each year
providing copies of all audit reports since 2015 may involve substantial
collation. Should your request relate to audits rather than
investigations or reviews the TEC may ask you to refine your request,
extend the time limit for responding to your request or fixing a charge in
accordance with section 18A of the Act.
If you would like some more assistance to refine your request or you have
any questions you can contact me on 04 462 5193.
Yours sincerely
Hugh McIlraith
Senior Advisor
Government Services
------------------- Original Message -------------------
From: [1][FYI request #5425 email]
Received: 22/02/2017 1:54 p.m.
To: TEC Sector Helpdesk
Subject: Official Information request - Results of audits into funding
compliance.
Dear Tertiary Education Commission,
I write to you to request under the Official Information Act 1982
information relating to audits performed or commissioned by the TEC into
tertiary education provider's use of government funding, from 2015 until
present.
Specifically I request:
1. The total number of audits performed or commissioned by TEC broken down
by:
Year,
Type of provider (PTE/ITP/University/Wananga),
Whether the audit was conducted by TEC or by an external party,
How many were completed vs. how many still in progress.
2. How many TEOs are planned to be audited in 2017/2018
3. A list of external auditors engaged by TEC to perform these audits, the
number performed by each, and the total paid by the TEC to each for these
audits.
4. The final auditors report in any case where the report raised any
concerns or made any recommendations relating to the allocation,
consumption, use, or monitoring of funding, or which made any reference to
the calculation or reporting of learner hours as it relates to funding
claimed. If the determination of which auditor reports fit this criteria
is prohibitively time consuming, all audit reports 2015 - current would
also be acceptable.
Yours faithfully,
Richard Thorpe.
-------------------------------------------------------------------
This is an Official Information request made via the FYI website.
Please use this email address for all replies to this request:
[2][FYI request #5425 email]
Is [3][TEC request email] the wrong address for Official Information requests
to Tertiary Education Commission? If so, please contact us using this
form:
[4]https://fyi.org.nz/change_request/new?bo...
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hide quoted sections
From: Richard Thorpe
Dear Hugh McIlraith,
At this point it is audits which I am seeking information on, rather than reviews or investigations.
In response to your concerns regarding the amount of time involved in collating this request, I would like to refine my earlier query regarding the final reports from audits completed. The final reports from 2016 onward, rather than my earlier request for 2015 onward, would be acceptable. However I would still like to know the number of audits completed, and whether they were undertaken by the TEC directly or by 3rd party auditors, from 2015.
I'm sure you agree that there is significant public interest in TEC's monitoring of the funding they provide to TEOs on behalf of the taxpayer. Given this interest, and that this request is made via a searchable website for the benefit of the wider public, I hope you will agree that a charge for collating this information is not appropriate.
Yours sincerely,
Richard Thorpe
From: Hugh McIlraith
Tertiary Education Commission
Dear Mr Thorpe, I have attached a letter from the Tertiary Education
Commission responding to your request for information.
Regards
Hugh McIlraith
Senior Advisor
Organisational Performance team
E [email address]
[1]FLASH DRIVE:TEC 33976 Visual
Identity:02 Production:Stationery, PO Box 27-048, Wellington 6141, New
Business Cards, Email Zealand
Footer:TEC_Email_Logo_Footer.png
[2]www.tec.govt.nz
This email is only intended to be read by the named recipient. It may
contain information which is confidential, proprietary or the subject of
legal privilege. If you are not the intended recipient you must delete
this email and may not use any information contained in it. Legal
privilege is not waived because you have read this email.
------------------- Original Message -------------------
From: [3][FOI #5425 email]
Received: 22/02/2017 1:54 p.m.
To: TEC Sector Helpdesk
Subject: Official Information request - Results of audits into funding
compliance.
Dear Tertiary Education Commission,
I write to you to request under the Official Information Act 1982
information relating to audits performed or commissioned by the TEC into
tertiary education provider's use of government funding, from 2015 until
present.
Specifically I request:
1. The total number of audits performed or commissioned by TEC broken down
by:
Year,
Type of provider (PTE/ITP/University/Wananga),
Whether the audit was conducted by TEC or by an external party,
How many were completed vs. how many still in progress.
2. How many TEOs are planned to be audited in 2017/2018
3. A list of external auditors engaged by TEC to perform these audits, the
number performed by each, and the total paid by the TEC to each for these
audits.
4. The final auditors report in any case where the report raised any
concerns or made any recommendations relating to the allocation,
consumption, use, or monitoring of funding, or which made any reference to
the calculation or reporting of learner hours as it relates to funding
claimed. If the determination of which auditor reports fit this criteria
is prohibitively time consuming, all audit reports 2015 - current would
also be acceptable.
Yours faithfully,
Richard Thorpe.
-------------------------------------------------------------------
This is an Official Information request made via the FYI website.
Please use this email address for all replies to this request:
[4][FOI #5425 email]
Is [5][TEC request email] the wrong address for Official Information requests
to Tertiary Education Commission? If so, please contact us using this
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[6]https://fyi.org.nz/change_request/new?bo...
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From: Richard Thorpe
Dear Mr. McIlraith,
Thank you for this response. While I am surprised and disappointed that the collation of these 52 documents is likely to be so time consuming, I would like to accept TEC's offer of having a smaller number of these documents made available without levying a charge.
The response included a list of audits performed by TEC in 2016. One report I was particularly interested in seeing, that of the Academy of Diving Trust, does not appear on this list. I would imagine that this is either because it was conducted by external auditors, or because the preparatory work for the audit commenced in 2015. Before I make a request for a shortlist of audit reports, are you able to clarify whether the provided list includes audits conducted by external parties, and if not provide one that does?
Yours sincerely,
Richard Thorpe
From: Hugh McIlraith
Tertiary Education Commission
Dear Mr Thorpe,
The Tertiary Education Commission (TEC) carried out a “review” not an
“audit” of the Academy of Diving Trust. The review was completed in
December 2016. As with all TEC commissioned reviews it was carried out by
external consultants. Once reviews are completed, it is the TEC’s practice
to publish the results of the review on its website.
A copy of the report on the review of the Academy of Diving Trust will be
published on the TEC’s website shortly at
[1]www.tec.govt.nz/funding/funding-and-performance/audits-reviews-investigations/reviews/
.
For more information about how the TEC distinguishes between audits,
reviews and investigations you can visit the TEC’s website or refer to my
earlier emails. As explained in those emails, the TEC makes a distinction
between audits, reviews and investigations.
The TEC
does not use third parties to conduct tertiary education organisation audits. We
do however commission external consultancies to carry out reviews and
investigations.
Yours sincerely
Hugh McIlraith
Senior Advisor
Organisational Performance team
E [3][email address]
[2]FLASH DRIVE:TEC 33976 Visual
Identity:02 Production:Stationery, PO Box 27-048, Wellington 6141, New
Business Cards, Email Zealand
Footer:TEC_Email_Logo_Footer.png
[4]www.tec.govt.nz
-----Original Message-----
From: Richard Thorpe
[[5]mailto:[FOI #5425 email]]
Sent: Monday, 20 March 2017 12:50 p.m.
To: Hugh McIlraith
Subject: Re: FW: Official Information request - Results of audits into
funding compliance. TCM:04511514
Dear Mr. McIlraith,
Thank you for this response. While I am surprised and disappointed that
the collation of these 52 documents is likely to be so time consuming, I
would like to accept TEC's offer of having a smaller number of these
documents made available without levying a charge.
The response included a list of audits performed by TEC in 2016. One
report I was particularly interested in seeing, that of the Academy of
Diving Trust, does not appear on this list. I would imagine that this is
either because it was conducted by external auditors, or because the
preparatory work for the audit commenced in 2015. Before I make a request
for a shortlist of audit reports, are you able to clarify whether the
provided list includes audits conducted by external parties, and if not
provide one that does?
Yours sincerely,
Richard Thorpe
-----Original Message-----
Dear Mr Thorpe, I have attached a letter from the Tertiary Education
Commission responding to your request for information.
Regards
Hugh McIlraith
Senior Advisor
Organisational Performance team
E [email address]
[1]FLASH DRIVE:TEC 33976 Visual
Identity:02 Production:Stationery, PO Box 27-048, Wellington 6141, New
Business Cards, Email Zealand Footer:TEC_Email_Logo_Footer.png
[2][6]www.tec.govt.nz This email is only intended to be read by the named
recipient. It may contain information which is confidential, proprietary
or the subject of legal privilege. If you are not the intended recipient
you must delete this email and may not use any information contained in
it. Legal privilege is not waived because you have read this email.
-------------------------------------------------------------------
Please use this email address for all replies to this request:
[7][FOI #5425 email]
Disclaimer: This message and any reply that you make will be published on
the internet. Our privacy and copyright policies:
[8]https://fyi.org.nz/help/officers
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Richard Thorpe left an annotation ()
Thanks Mark, but given that the response of "soon" relates to an accurate clarification that the document falls outside of the scope of my request, rather than a refusal to provide a document within the scope, I don't think the ombudsman's guidelines apply in this case.
The TEC are progressing with the rest of the request in what I think is good faith, and were able to provide this clarification to me very promptly, so I am not overly concerned about this.
From: Richard Thorpe
Dear Mr. McIlraith,
Thank you for your assistance in narrowing the scope of this request.
I would like to request the final reports for the 2016 audits for:
New Zealand Motor ITO
YMCA
Te Wananga Whare Tapere o Takitimu
Wairoa Waikaremoana Maori Trust Board
NZ Management Academies
Te Kohanga Reo National Trust Board
NMIT
New Zealand Institute of Sport
Catholic Institute of Aotearoa
The Learning Connexion
Yours sincerely,
Richard Thorpe
From: Hugh McIlraith
Tertiary Education Commission
Dear Mr Thorpe, thank you for agreeing to refine your request.
I will be finishing work at the TEC shortly but one of my colleagues has begun work on your request.
If you have any questions about your request, you can email [email address] and one my colleagues will be able to assist you.
Regards
Hugh McIlraith
-----Original Message-----
From: Richard Thorpe [mailto:[FOI #5425 email]]
Sent: Wednesday, 22 March 2017 11:12 a.m.
To: Hugh McIlraith
Subject: RE: FW: Official Information request - Results of audits into funding compliance. TCM:04511514
Dear Mr. McIlraith,
Thank you for your assistance in narrowing the scope of this request.
I would like to request the final reports for the 2016 audits for:
New Zealand Motor ITO
YMCA
Te Wananga Whare Tapere o Takitimu
Wairoa Waikaremoana Maori Trust Board
NZ Management Academies
Te Kohanga Reo National Trust Board
NMIT
New Zealand Institute of Sport
Catholic Institute of Aotearoa
The Learning Connexion
Yours sincerely,
Richard Thorpe
-----Original Message-----
Dear Mr Thorpe,
The Tertiary Education Commission (TEC) carried out a “review” not an “audit” of the Academy of Diving Trust. The review was completed in December 2016. As with all TEC commissioned reviews it was carried out by external consultants. Once reviews are completed, it is the TEC’s practice to publish the results of the review on its website.
A copy of the report on the review of the Academy of Diving Trust will be published on the TEC’s website shortly at [1]www.tec.govt.nz/funding/funding-and-performance/audits-reviews-investigations/reviews/
.
For more information about how the TEC distinguishes between audits, reviews and investigations you can visit the TEC’s website or refer to my earlier emails. As explained in those emails, the TEC makes a distinction between audits, reviews and investigations.
The TEC
does not use third parties to conduct tertiary education organisation audits. We do however commission external consultancies to carry out reviews and investigations.
Yours sincerely
Hugh McIlraith
Senior Advisor
Organisational Performance team
E [3][email address]
[2]FLASH DRIVE:TEC 33976 Visual
Identity:02 Production:Stationery, PO Box 27-048, Wellington 6141, New Business Cards, Email Zealand Footer:TEC_Email_Logo_Footer.png [4]www.tec.govt.nz
-------------------------------------------------------------------
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[FOI #5425 email]
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hide quoted sections
From: Caroline Slight
Tertiary Education Commission
Dear Richard
Please find attached a response to your recent request for information.
Kind regards.
Caroline Slight
Senior Advisor, Government Services
Organisational Performance
[1]FLASH DRIVE:TEC 33976 Visual PO Box 27-048, Wellington 6141, New
Identity:02 Production:Stationery, Zealand
Business Cards, Email
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this email and may not use any information contained in it. Legal
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From: Stephen Moore
Tertiary Education Commission
image003.png
7K
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01.2016 05 09 The Catholic Institute of Aotearoa Limited Edumis 8498....pdf
561K
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02.2016 05 23 Takitimu Performing Arts School Trust Edumis 9847 Final....pdf
1021K
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03.2016 05 27 MITO NZ Incorporated Edumis 9013 Final Audit Report no....pdf
612K
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04.2016 07 25 The Learning Connexion Edumis 9410 Final Audit Report R....pdf
1.0M
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05.2016 08 19 National Council of YMCAs of New Zealand Edumis 9388 Fin....pdf
1.2M
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06.2016 09 09 New Zealand Management Academies Edumis 8661 Final Audi....pdf
925K
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07.2016 09 26 Wairoa Waikaremoana Maori Trust Board Edumis 9270 Final....pdf
1.0M
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08.2016 11 04 Te Kohanga Reo National Trust Board Edumis 9381 Final A....pdf
949K
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09.2016 12 09 NMIT Edumis 6011 Final Audit Report no redactions.pdf
624K
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10.2016 08 12 NZ Institute of Sport Edumis 8490 Final Audit Report no....pdf
571K
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Letter to R Thorpe copies of 10 selected final audit reports.pdf
400K
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Dear Mr Thorpe
Please find attached the TEC’s response to the above request. Attached is
a letter from the TEC and copies of the 10 final audit reports.
Kind regards
Stephen Moore
[1]FLASH DRIVE:TEC 33976 Visual PO Box 27-048, Wellington 6141, New
Identity:02 Production:Stationery, Zealand
Business Cards, Email
Footer:TEC_Email_Logo_Footer.png [2]www.tec.govt.nz
This email is only intended to be read by the named recipient. It may
contain information which is confidential, proprietary or the subject of
legal privilege. If you are not the intended recipient you must delete
this email and may not use any information contained in it. Legal
privilege is not waived because you have read this email.
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From: Richard Thorpe
Dear Stephen,
Many thanks to you and your colleagues for the work involved in providing these documents.
Yours sincerely,
Richard Thorpe
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Mark Hanna left an annotation ()
You may wish to ask when "shortly" will be, as in "the review of the Academy of Diving Trust will be published on the TEC’s website shortly".
The Ombudsman's guidance note on requests refused under section 18 (section 18(d) allows requests to be refused if the requested information will be made publicly available "soon") says that it is good practice to advise the requester when information like this will be made available:
"As to what is meant by “soon” in the context of section 18(d), this is a question of fact to be determined in the circumstances of the case. The section presupposes, however, an element of certainty about when the information will become publicly available. In these circumstances, it is good practice to provide the requester with a specific date of release or to explain the perceived difficulty in meeting the request immediately."
http://www.ombudsman.parliament.nz/syste...
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