ppt

1. Managing compliance within the
ESOS Framework
Taking the Worry Out!
Apr 2014
Debbie Phipps – Rainbow Connextions Pty Ltd
www.rainbowconnextions.com.au
 debbiephipps@rainbowconnextions.com.au
 mobile 0412 093 255

2. Key Points
1. Changes to Department Names and Acronyms
2. Changes to your Regulator
3. Changes to the ESOS Act 2000 1 July 2012
4. Amendments Bill 2013 to ESOS Act 2000 11 December 2013
5. Summary of National Code Part C
6. Summary of National Code Part D

3. ACRONYMS
ESOS Education Services for Overseas Students
RTO Registered Training Authority
ASQA Australian Skills Quality Authority
ELICOS English Language Intensive Courses for Overseas Students
COE Confirmation of Enrolment
PRISMS Provider Registration and International Students Management System
PEO Principal Executive Officer
ACPET Australian Council for Private Education and Training
DOE Department of Education *NEW (was DIICCSRTE, DIISRTE, DEEWR, DEST etc)
DETE Department of Education, Training and Employment (Qld State only) / other
State authorities as applicable
DIBP Department of Immigration and Border Protection *NEW (was DIAC)
TEQSA The Tertiary Education Quality and Standards Agency
NEAS National ELT (English Language Teaching) Accreditation Scheme

4. Department /Legislation changes
• Introduction of Department of Education (DOE) and Australian
Skills Quality Authority (ASQA) - (RTOs)
• Changes to legislation names eg AQTF to Standards for NVR
Registered Training Organisations
• Possible changes to State regulator and local legislation
• Addition of the Overseas Student Ombudsman
• Department of Immigration and Border Protection (DIBP was
DIAC)
Have you updated your policies and procedures to reflect these
changes?
You must ensure you quote the correct Quality Assurance framework eg
NVR not AQTF.

5. Key changes to ESOS Act July 2012
This is now over 18 months ago you must ensure you are compliant!
There is much more to the July 2012 changes than the introduction of the ‘Tuition
Protection Service -TPS’
• TAS (Tuition Assurance Scheme) no longer a requirement of legislation –
update your privacy statement across all documents with correct legislation.
• New timelines in particular around student and provider default – incorporate
into your refund policy Refer Part 5 46A,B,F 49C, 50C(3)
• Tuition Protection Service (TPS) new levies Refer Part 5a & 24 & 26

6. ESOS 1 July 2012 – updated ESOS Act
• New requirement to update PRISMS with all student
payments (bulk upload option available)
refer PRISMS Provider User Guide – Non-public
providers within 14 days of payment

7. ESOS 1 July 2012 key changes
• TUITION ~ NON TUITION – you must be very clear
• Recording keeping; limit on prepaid tuition fees and when you can collect
further tuition fees;
• Clear study periods;
• Designated bank accounts (for prepaid fees) unless you are administered
by a State Education Authority OR recurrent Commonwealth funding;
• 6 monthly requirement for PROVIDER to remind students of changes to
address, phone, email and keep evidence of the same;
• Academic records recorded and updated on completion of EACH UNIT of
competency,
• Report students even if they have ceased study if due to report. Part 21,
22, 27, 28 – 32

8. ESOS changes effective 1 July 2012
• Have you updated your policies and procedures and Written Agreement/Letter
of Offer since (or prior) to 1 July to incorporate the new changes?
• Are your agreements SIGNED from 1 July 2012 compliant?
Prepayment of fees limits? Length of study periods and tuition fees for each
study period? Refer Section 22
• Provider Brochure of the changes – https://aei.gov.au/Regulatory-
Information/Education-Services-for-Overseas-Students-ESOS-Legislative-
Framework/ESOS-Review/Documents/TPSProviderBrochure.pdf
Note AEI have temporarily removed most of their documents eg National Code
Explanatory Guide.

9. ESOS 1 July Demonstrate changes
• You have to be able to ‘demonstrate’ compliance
• Evidence of how you implement eg 6 monthly requirement
of updating contact details
• Proof of a procedures being followed
• Evidence kept on student files

10. ESOS Act - Key changes
Student default NEW TIMELINES: Section ESOS Act 47 A,B,C,D,E,H,
• 5 business days to notify DOE and the TPS Director (via PRISMS) of a
student default
• 14 days to report the cancellation of a student’s enrolment
• 28 days to finalise
• A further 7 days to report the outcome via PRISMS
Refer FAQS document Page 8 / 2.5 and PRISMS User Guide

11. ESOS Act – Amendments Bill December 2013
•More clarification around refund of ‘Tuition Fees’ before and after commencement of
study.
•Clarification on refunds when a visa is refused
•Removal of ‘pre paid fees’ and all references to ‘pre paid fees’ throughout the ESOS
Act and replace with ‘Tuition fees’.
The updates were made to ensure refund requirements are clearer to providers and
students.
Refer:
FAQS document
https://prisms.deewr.gov.au/Information/News/News.aspx?NewsId=485
Calculation of unspent pre-paid fees – provider default -
http://www.comlaw.gov.au/Details/F2012L01351
Calculation of unspent pre-paid fees – other cases -
http://www.comlaw.gov.au/Details/F2012L01378

12. New Timelines for student and provider default
Incorporate into your refund policy and procedures
Refer –
https://aei.gov.au/Regulatory-Information/Education-Services-for-Overseas-Students-
ESOS-Legislative-Framework/ESOS-
Review/Documents/Final%20FAQs%2031%20July%20numbered.pdf

13. ESOS 1 July Demonstrate changes
• Quick Reference Guide-Record Keeping – 14 items listed
• Quick Reference Guide-Procedures Required –
14 procedures you require evidence of
Refer: https://prisms.deewr.gov.au/Information/News/News.aspx?NewsId=477
published May 2013

14. Refund in the case of Visa refusals
UPDATE YOUR REFUND POLICY:
The lessor of: the total amount of pre-paid tuition fees received or $500
Refer - https://aei.gov.au/Regulatory-Information/Education-Services-for-Overseas-Students-
ESOS-Legislative-Framework/ESOS-
Review/Documents/Final%20FAQs%2031%20July%20numbered.pdf (Page 8)
ESOS Act 2000 47E(4)
And…
http://www.comlaw.gov.au/Details/F2012L01378 (4)

15. Refunds
You are not required to refund application fees but ensure it is very clear to students!
Refer - https://aei.gov.au/Regulatory-Information/Education-Services-for-Overseas-Students-
ESOS-Legislative-Framework/ESOS-
Review/Documents/Final%20FAQs%2031%20July%20numbered.pdf 4.13 Page 13

16. NATIONAL CODE AND ESOS
National Code has 4 parts don’t forget Section C!
• Sections 3–5
• Registration on CRICOS
• Section 6
• Application for registration
• Section 7
• Course duration
• Section 8
• Work-based training
• Section 9
• Mode and place of study
• Section 10
• Arrangements with other providers
• Section 11
• Inspection of premises
• Section 12
• Maximum number of students

17. NATIONAL CODE AND ESOS
Standard 1
Marketing information and practices
Standard 2
Student engagement before enrolment
Standard 3
Formalisation of enrolment
Standard 4
Education agents
Standard 5
Younger overseas students
Standard 6
Student support services
Standard 7
Transfer between registered providers
Standard 8
Complaints and appeals
Standard 9
Completion within expected duration
Standard 10
Monitoring course progress
Standard 11
Monitoring attendance
Standard 12
Course credit
Standard 13
Deferment, suspension or cancellation of study during
enrolment
Standard 14
Staff capability, educational resources and premises
Standard 15
Changes to registered providers’ ownership or
management
NC Part D 15 Standards to the National Code – do you have policies and procedures for each?

18. NATIONAL CODE AND ESOS
Pre-enrolment engagement of students (Standards 1-4)
• Full legal entity & CRICOS Provider Code on all material used for marketing to
students – this may be very different to your trading name
• Go to http://cricos.deewr.gov.au– Institute Name is your Legal Entity
• Don’t forget website is usually first port of call for regulators
• Include CRICOS Course Codes as well as Training Package Codes
• Ensure students are well informed PRIOR to signing student agreement check
Standard 2 requirements
• Evidence of procedures being implemented- eg evidence of the process of your
assessment of entry requirements prior to issuing an Offer.
• Written agreement with the student before (or at the same time as) accepting
course money from the student. – keep evidence
• Agents – written agreements & evidence
• http://www.isana.org.au/the-rainbow-guide - The Rainbow Guide – best practice
guide funded by DOE

19. NATIONAL CODE AND ESOS
Care for and services to students (Standards 5-6)
Under 18 students? Do you accept their welfare? OR Do you only accept if
they stay with their parents/Guardian?
• You must ensure you policies and procedures are adequate to cover all the
requirements, if you sign a Confirmation of Appropriate Accommodation and
Welfare (CAAW) letter you are responsible during those dates.
• You are responsible for homestay even if you subcontract it
• Orientation – checklist to ensure you don’t miss any key requirements
• Student Welfare Officer/s
• Critical Incident Policy and Emergency Evacuation Plans
• Staff who interact directly with overseas students must be aware of your
obligations under the ESOS framework.

20. NATIONAL CODE AND ESOS
Students as consumers (Standards 7-8)
• Letter of Release – unless to the detriment of the student
• Keep decisions and reasons on student files
• Complaints and Appeals – internal ~ external appeals
• One external appeal?
• Overseas Student Ombudsman http://www.oso.gov.au/

21. NATIONAL CODE AND ESOS
The student visa programme (Standards 9-13)
• Standard 9 – don’t forget! Completed in Expected Duration
• Monitoring progress – clear definition of what satisfactory progress is
• Implement your intervention strategies and keep evidence
• Monitoring attendance – keep evidence
• Allow time for complaints/appeals process
• Warning letters, Notice of ‘Intention’ to Report
Note: Section 20 notice no longer exists
Refer - https://prisms.deewr.gov.au/Information/News/News.aspx?NewsId=475
• Course credit/RPL implications on COE
• Deferments, suspensions, cancellations – clear behaviour rules, clear
policies and procedures
• Compassionate or compelling circumstances
• Non genuine students - define

22. NATIONAL CODE AND ESOS
Staff, educational resources and premises (Standards 14-15)
• Moving premise, notifying students
• Adequate staff and resources
• You cannot sell your business and transfer CRICOS
• Talk to regulator and work out a strategy
• New owner or high managerial agents
Section 5 of the ESOS Act defines a high managerial agent of a provider as
being an employee, agent or officer of the provider with duties of such
responsibility that his or her conduct may fairly be assumed to represent the
provider in relation to the business of providing courses.

23. DON’T FORGET!
• Letters of Offer - Study periods; Tuition ~ Non Tuition Fees shown separately.
• Written Agreements – Full Refund Policy, Personal Information that may be shared
• Obligation to remind students to advise of change of address & phone and email
& keep evidence of your 6 monthly reminder to students
• Minimum requirements for Student Handbook as per National Code
• Student Handbook ~ Staff Handbook
• ESOS Act 2000 providers MUST update student records on PRISMS within 14 days
changes to a students enrolment including if a student starts or does not start on
the specified date.
• Student files must be retained for 2 years after student ceases study.
• Keep Student files up to date and evidence on files.

24. LINKS TO NEW ESOS LEGISLATION
• https://www.aei.gov.au/Regulatory-Information/Education-Services-for-
Overseas-Students-ESOS-Legislative-Framework/ESOS-
Review/Documents/Final%20FAQs%2031%20July%20numbered.pdf - (FAQs)
• https://www.aei.gov.au/Regulatory-Information/Education-Services-for-
Overseas-Students-ESOS-Legislative-Framework/ESOS-
Review/Pages/Changescommencing1July.aspx - ESOS changes 1 July
• https://www.aei.gov.au/Regulatory-Information/Education-Services-for-
Overseas-Students-ESOS-Legislative-Framework/ESOS-
Review/Documents/ESOSAmendmentsSummary.pdf - Legislative Checklist

25. SUMMARY
1. Changes to Department Names and Acronyms
2. Changes to your Regulator
3. Changes to the ESOS Act as of 1 July 2012 & Dec 2013
4. Summary of National Code Part C
5. Summary of National Code Part D

26. FOLLOW UP ACTION:
1. Check your PRISMS information is accurate
2. Check your Legal Entity and CRICOS Provider code and CRICOS Course Codes are
correct and across all marketing material
3. Check you have a policy and procedure for every standard of the National Code
4. Check templates letters and forms are current and quote correct legislation and
departments
5. Review your Letter of Offer and Written Agreement to ensure it is compliant
6. Review your website for currency
7. Review all of your CRICOS course scope for currency and RTO/other scope.
8. Ensure you have evidence to prove procedures have been implemented
9. Ensure anything that should be signed is signed.
10. Check all of your signed agreements with all other parties to ensure they are still
valid and accurate. Keep evidence that you monitor as per your agreement/s
11. Review as many Student files as possible from current students backwards.
12. Check Staff files and resumes are up to date.