Croydon Consulting

Education - the road to a better future

Common Deficiencies & Non-Compliance in PTE QMS Manuals

Written by Peter W Keith

The following are common deficiencies and non-compliance in PTE QMS processes, procedures and practice:

Governance and Management:

  • No PTE Charter and/or Charter not used as basis or linked to PTE Policies
  • Lack of documented Governance and Management roles & responsibilities
  • Inadequate Governance monitoring and review of compliance accountabilities
  • Inadequate documented Strategic & Annual Planning
  • No Advisory Board in place with a documented rationale and terms of reference
  • No documented stakeholder consultation processes or needs assessment / analysis
  • Inadequate PTE ‘risk assessment’ and ‘risk management’ procedures
  • No procedures in place to manage Governance ‘conflict of interest’

Student Management and Learning:

  • Poorly documented Student Enrolment procedures and Enrolment Record requirements
  • Inadequate processes and procedures for student Course Withdrawal and Fee Refunds
  • Barriers to student learning not monitored / documented and addressed
  • Student Learning Plans (Learning Goals) and / or Student Pathway Plans not in use
  • Inadequate PTE-wide Information / Student Guide provided to students
  • No Student Information Declarations and / or Student Assessment Declarations in use
  • Inadequate information management and student record storage procedures
  • Poorly documented student management procedures including Student Behaviour Rules, Student Discipline and Student Complaints procedures


  • Inadequate ‘Legislation Compliance’ information / guidance provided for staff
  • Inadequate Personnel Management policies and no Employment Compliance Review
  • No Protected Disclosure Policy and procedures in place
  • No Employee Handbook and Staff Code of Conduct

Assessment and Moderation:

  • Inadequate Learner Assessment Information provided to students
  • Inadequate authenticity procedures and no ‘Authenticity Statements’ in place
  • Poorly documented student assessment Appeals process & procedures
  • Inadequate procedures around Reassessment & Recognition of Prior Learning
  • Inadequate Assessment Good Practice Guide and No Assessor Code of Practice

Health and Safety:

  • Health and Safety Policy, procedures and practice out-of-date and not compliant
  • Inadequate Risk / Hazard, Accident & Incident management procedures
  • Inadequate internal monitoring and internal self-audit of Health and Safety

Self Assessment:

  • The NZQA Key Evaluation Questions and Tertiary Evaluation Indicators not fully integrated into Self Assessment
  • Poor quality Self Assessment at strategic and Governance level
  • No formal Self Assessment Policy or documented procedures & outcomes
  • Organisational Self Assessment not linked to Strategic & Annual Planning
  • Self Assessment findings not used to improve design & delivery of teaching programmes