As specified in section 159YC(1) of the Act, it is a condition of a TEO receiving funding that the TEO will supply to the TEC, from time to time as required by the TEC, and in the form specified by the TEC, any financial, statistical, or other information that a TEO is required to supply.

For a TEO to be able to provide information, it must collect and retain the information specified Single Data Return (SDR) in accordance with the SDR Manual and its appendices. 

Record keeping obligations

Under section 225 of the Act, an institution must ensure that it keeps records that show:

(a)    the progress of each student at the institution (including the results achieved by the student) in his or her programme of study or training; and

(b)    particulars of any allowances, grants, or other payments received by each student at the institution in respect of his or her programme of study or training out of public money appropriated by Parliament.

Retention of records

An institution must also comply with record-keeping obligations as required by the Public Records Act 2005.  For more information about a TEI’s record keeping and record retention requirements, see the Archives New Zealand website.

To comply with these requirements, an institution should keep student records, including confirmation of eligibility to study, enrollment records, and details of fees and charges made to the learner in accordance with a signed agreement with the Chief Archivist (as applicable).

Institutions must also ensure they are aware of, and comply with, the requirements of other government agencies, for example, the Ministry of Education, Studylink or Inland Revenue.

The following funding conditions are imposed under either section 159ZD(2)(a) –conditions that the TEC may impose – or section 159ZD(b) – conditions that the TEC must impose – in accordance with the Determination of Design of Funding Mechanism: Adult and Community Education.

Note: For your reference, you can view the archived Emergency Management (ACE) conditions (PDF 273 KB) (PDF, 264 Kb) that applied to 2015 funding only.

EM001: Organisation to supply information to the TEC

It is a condition of receiving funding that the Organisation will supply to the TEC or the Ministry of Education any financial, statistical, or other information that the TEC or the Ministry of Education (as the case may be) requires the Organisation to supply.

Organisation to supply enrollment information to the TEC

The Organisation must supply the TEC information about each student enrolled in Emergency Management (ACE) funded courses by completing the fields in the SDR in accordance with the SDR manual.

Organisation to supply financial viability information to the TEC      

The Organisation must supply to the TEC information relating to the financial viability of the Organisation, if the TEC notifies the Organisation that the TEC requires that information. 

Organisation to supply subcontracting information to the TEC

The Organisation must supply to the TEC information about its subcontracting arrangements when the TEC requests it.

Organisation to supply information to the TEC in certain situations

The Organisation must notify the TEC immediately if:

(a)   any record required to be kept under the Education Act 1989 has been lost or damaged; or

(b)   it is no longer able to comply with a condition of funding.

EM002: Organisation to continue to meet specified criteria

The Organisation must, during the funding period, continue to be:

(a)    a university; or

(b)    an institute of technology and polytechnic (ITP); or

(c)    a wānanga; or

(d)    a private training establishment (PTE); or

(e)    a community organisation; or

(f)     an employer that is an organisation as defined by section 159B of the Education Act 1989 and is recommended to receive funding by the emergency management coordination body appointed by the TEC.

EM003: Organisation to continue to be quality assured

The Organisation must, during the funding period, unless the Organisation is a community organisation or an employer, continue to be quality assured by:

(a)    the New Zealand Vice-Chancellors' Committee if the Organisation is a university; or

(b)    NZQA, if the Organisation is an ITP, a wānanga or a PTE.

EM004: Organisation to ensure that learners meet criteria

The Organisation must, during the funding period, ensure that each learner who is enrolled in a programme of study or training is:

(a)    a New Zealand citizen or resident; and

(b)    nominated to undertake the emergency management training by the emergency management coordination body appointed by the TEC.

EM005: Organisation to ensure programmes meet criteria

The Organisation must, during the funding period, ensure that each programme of study or training in which an eligible learner is enrolled:

(a)    continues to be:

       (i)     a programme made up of unit standards and credits, which may lead to the award of a qualification on the New Zealand Qualifications Framework; or

       (ii)    a training scheme; or

       (iii)   a short award; and

(b)    has been, and continues to be, recommended by the emergency management coordination body appointed by the TEC; and

(c)    continues to be appropriate for volunteers.

EM006: Organisation to work with groups to identify and meet EM training needs

The Organisation must work with local organisations, peak bodies, groups, and communities, including other tertiary education organisations involved in ACE, Search and Rescue (ACE) or Emergency Management (ACE) provision, to identify and meet community learning needs.

EM007: Organisation not to subcontract delivery without consent

The Organisation:

(a)    must not subcontract any of the activities for which the Organisation receives funding under the Organisation's funding confirmation letter without the TEC's prior written consent; and

(b)    must, if the TEC provides the Organisation with written consent under paragraph (a):

       (i)     comply with any conditions imposed by the TEC on the TEC's consent to subcontract; and

       (ii)    ensure that the subcontracted party does not further subcontract the activities; and

       (iii)   remains accountable to the TEC for any subcontracted party's use of funding received under the Organisation's funding confirmation letter.

EM008: Organisation not to charge fees

The Organisation must not, in 2016, charge a fee to a learner for the learner's participation in an eligible Emergency Management (ACE) programme of study or training for which the Organisation receives funding.  For the purpose of this condition, "fee":

(a)    includes:

       (i)     tuition fees; and

       (ii)    compulsory course costs; and

       (iii)   examination fees; and

       (iv)   costs of materials; and

       (v)    costs of field trips; and

       (vi)   costs associated with the compulsory purchase of equipment or books through the Organisation; and

     (vii)  other charges associated with a course; but

(b)    does not include:

      (i)     compulsory student service fees; or

      (ii)    fees for student identification cards.

EM009: Organisation to provide necessary equipment

The Organisation:

(a)    must pay for any necessary equipment, infrastructure and hardware that:

       (i)     is required to deliver a particular programme; and

       (ii)    can be used by successive intakes of students; and

      (iii)   is not a personal item provided for individual learner use and that the Organisation retains for the next intake of learners; and

(b)    must not require, as a condition of enrolment for learners, that costs relating to the provision of essential equipment, including computers, be met through the "course-related costs" component of the Student Loan Scheme.

EM010: Organisation not to receive other Crown funding

The Organisation:

(a)    must not (without the TEC's prior written consent) seek or obtain funding from any Crown source other than the TEC to fund the provision of any activities for which the Organisation receives funding under the Organisation's funding confirmation letter; and

(b)    must notify the TEC immediately if it becomes aware of any circumstances that might result in a breach of this condition.

EM011: Organisation to use funding responsibly

The Organisation must use the funding:

(a)    lawfully, responsibly and for the purposes for which it is provided; and

(b)    in a manner consistent with the appropriate use of public funds.

EM012: Organisation to repay over-funding

If the Organisation receives funding under the Organisation's funding confirmation letter that is greater than it should have been, or that it was not entitled to receive, the Organisation must treat the amount of the over-funding as a debt due to the Crown that:

(a)    is repayable on demand; and

(b)    may be set-off against all or any funding, or any sum of money payable by the TEC to the Organisation.

Funding greater than it should have been

For the purposes of this condition, the TEC will consider that an Organisation received funding that was greater than it should have been if the Organisation delivered less Emergency Management (ACE) provision (at a course level) than it received funding for. In that situation, the TEC will recover the difference between the Organisation’s actual delivery and 100% of the Emergency Management (ACE) funding received by the Organisation.

EM013: Organisation to repay funding if funding approval revoked

If the TEC suspends or revokes some or all of the Organisation's funding under the Organisation's funding confirmation letter in accordance with section 159ZF of the Education Act 1989, any funding that the TEC has paid to the Organisation under the Organisation's funding confirmation letter that the Organisation has not used or contractually committed towards the provision of the activities:

(a)    must be treated by the Organisation as a debt due to the Crown; and

(b)    is repayable to the TEC on demand; and

(c)    may be set-off against all or any funding, or any sum of money payable by the TEC to the Organisation.

EM014: Organisation to make records available for inspection

If required by the TEC, the Organisation must provide the TEC with access to the Organisation's premises, employees and information for the purposes of:

(a)    inspecting the records that the Organisation must keep; or

(b)    auditing the Organisation's compliance with conditions outlined in the Organisation’s funding confirmation letter and requirements in the Education Act 1989.

EM015: Tertiary education institutions to maintain enrollment records

If the Organisation is a tertiary education institution, the Organisation must keep accurate and up-to-date records of enrolments in accordance with the requirements developed by the TEC.

EM016: Organisation to meet performance commitments

The Organisation must undertake the activities:

(a)    throughout the funding period; and

(b)    in accordance with the conditions set out in the Organisation’s funding confirmation letter and all applicable laws and regulations; and

(c)    in a manner acceptable to the TEC and that meets any minimum performance commitments agreed with the TEC.

EM017: Organisation to notify the TEC of any issues

The Organisation must notify the TEC of any issues that may affect its ability to comply with the conditions in the Organisation’s funding confirmation letter.

EM018: No promise of further funding from the TEC

The Organisation acknowledges and agrees that:

(a)    the TEC has not made any promise (express or implied) that it will contract with the Organisation for any further funding, during or after the expiry of the funding period; and

(b)    the Organisation has no expectation that the TEC will do so.

EM019: Organisation to keep records

(a)    it keeps records, in a form consistent with that required by the TEC, for the funding period, that fully and fairly show:

       (i)     the transactions, assets, liabilities, and funds of the Organisation that are or were affected by the funding; and

       (ii)    whether any conditions on which the funding was made have been complied with; and

(b)    the records are available for inspection by the TEC at all reasonable times.

EM020: Organisation to remain financially viable

The Organisation must, during the funding period, continue to be financially viable and be able to demonstrate its financial viability if requested by the TEC.

EM021: Organisation to provide financial reports

[Note: The TEC may exempt this condition from applying, under section 159ZE(4)-(5) of the Education Act 1989.]

The Organisation must, as soon as practicable after 31 December in any year in which it receives funding, provide the TEC with:

(a)   a financial report of the Organisation for that year that includes the Organisation's audited accounts, a statement of financial performance, a statement of financial position, a statement of movements in equity, a statement of cash flows, and a statement of service performance that compares the performance of the Organisation with the outcomes as measured by any Performance Commitments agreed with the TEC; and

(b)   any financial reports, or statistical or other information, required by the TEC; and

(c)   any information necessary to demonstrate compliance with the conditions set out in the Organisation’s funding confirmation letter.

The report described in paragraph (a) must be prepared in accordance with generally accepted accounting practice and audited by an independent chartered accountant.

EM022: Organisation to make information available to the TEC and its appointed representative for the purpose of monitoring.

By accepting funding from the TEC, the TEO is deemed to have acknowledged that one of the TEC’s statutory functions is to monitor the performance of organisations receiving funding from the TEC, and that it is a statutory condition that the TEO must maintain certain records and supply certain information to the TEC.

Accordingly, by accepting funding from the TEC the TEO is deemed to have acknowledged that the TEC needs access to certain information to enable it to undertake its monitoring activities and, as such, the TEO authorises the TEC (and any representative acting on behalf of the TEC) to have reasonable access to information needed by the TEC to undertake its review and monitoring function.

This includes the TEO authorising the TEC and the TEC’s appointed representatives to have reasonable access to the TEO’s premises and any premises where the TEO’s records are kept for the purpose of enabling monitoring and review activities to be undertaken at those premises.