1. TOP 10 NON COMPLIANCES
FOR
CRICOS PROVIDERS!Version 4 June 15
Debbie Phipps – Rainbow Connextions Pty Ltd
www.rainbowconnextions.com.au
debbie.phipps@rainbowconnextions.com.au
mobile 0412 093 255
2. Key Points
1. Current ACRONYMS
2. Identify each of the Top 10 Non Compliances
3. Using PRISMS reports to help you manage your own compliance
4. Areas / checks to focus on
5. Where to start reviews of your compliance
6. Changes to the ESOS Act 2000 as of 1 July 2012 & December 2013 &
July 2014
7. Links to changes and information on changes
8. Follow up action
9. Summary
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
DET Department of Education & Training *NEW (was DIICCSRTE, DIISRTE, DEEWR,
DEST etc)
DET Department of Education, Training (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. TOP 10 NON COMPLIANCES
Number 1 –
Version Control – Ensuring you have the most current
version of policy/procedure/form
Ensure Marketing Material is updated also
DON’T FORGET TO Update as changes take place e.g.
legislation changes, regulator name changes.
https://prisms.deewr.gov.au/Logon/Logon.aspx
5. TOP 10 NON COMPLIANCES
Number 2 –
Not following your own policies and procedures
accurately – follow up with new staff in particular
6. TOP 10 NON COMPLIANCES
Number 3 –
Implementing procedures and keeping evidence
Evidence of procedures/processes including – assessment of student entry
requirements; refunds; monitoring of Education Agents; checking of student
accommodation (as relevant); management of critical incidents; assessing
transfers; handling of complaints and appeals; monitoring of progress and
workload and completion in expected duration; monitoring attendance;
course credit; deferment and suspension; staffing and resources; 6 monthly
reminders to students to update their details.
Refer – PRISMS – Procedures Required
7. TOP 10 NON COMPLIANCES
Number 4 –
Record Keeping – RECORDS THAT MUST BE KEPT
Assessment of transfer requests; Complaints and Appeals; Variations in
Enrolment; Course Progress; Attendance; course credit; deferment or
suspension; current details for students including address, phone & email;
outcomes of units of competency; monies due each study period showing
tuition ~ non tuition; signed written agreements; outstanding student fees;
any additional fees student have to pay.
If you keep records electronically they must be backed up regularly!
Good practice is to use a backup system/routine eg daily, weekly, monthly,
quarterly and annual back ups in case of corruption.
Current and up to date STUDENT AND STAFF files – EVIDENCE!!
Refer ESOS Regulations 2001 Section 3.05
REFER PRISMS - Recordkeeping Guide
8. TOP 10 NON COMPLIANCES
Number 5 –
MONITORING YOUR EDUCATION AGENTS
CURRENT SIGNED AGREEMENTS!
CURRENT LIST ON YOUR WEBSITE
9. TOP 10 NON COMPLIANCES
Number 6 –
Outsourcing to other organisations and not
monitoring their activity well, not keeping
evidence of that monitoring, out of date
agreements.
10. TOP 10 NON COMPLIANCES
Number 7 –
NOT updating financial records on PRISMS EVERY
2 WEEKS
Update PRISMS with all student tuition payments (bulk upload option
available)
‘From 1 July 2012, Non-public providers are required to provide
details of tuition fees received during a calendar month within 14
days of payment.’
Refer: ESOS changes 1 July 2012 & PRISMS Provider User Guide – Non-public
providers within 14 days of payment
11. TOP 10 NON COMPLIANCES
Number 8 –
Issuing Confirmation of Enrolments (COE’s) for the
wrong duration
AND / OR
Issuing COE’s for the wrong cost
12. TOP 10 NON COMPLIANCES
Number 9 –
Keeping your Accreditation and CRICOS scope
current – current versions of courses!!
Allow time for adding new courses
Check your accreditation scope and CRICOS scope
13. TOP 10 NON COMPLIANCES
Number 10 –
Ensure students get all of the pre enrolment
requirements as per National Code Std 2 a to h
PRIOR TO ENROLMENT
2.1
Prior to accepting a student, or an intending student, for enrolment in a course, the registered provider must provide, in print or through referral to an electronic copy, current and
accurate information regarding the following:
a. the requirements for acceptance into a course, including the minimum level of English language proficiency, educational qualifications or work experience required and whether
course credit may be applicable
b. the course content and duration, qualification offered if applicable, modes of study and assessment methods
c. campus locations and a general description of facilities, equipment, and learning and library resources available to students
d. details of any arrangements with another registered provider, person or business to provide the course or part of the course
e. indicative course-related fees including advice on the potential for fees to change during the student’s course and applicable refund policies
f. information about the grounds on which the student’s enrolment may be deferred, suspended or cancelled
g. a description of the ESOS framework made available electronically by DEEWR, and h.
h. relevant information on living in Australia, including:
i. indicative costs of living
ii. accommodation options; and
iii. where relevant, schooling obligations and options for school-aged
dependants of intending students, including that school fees may be
incurred
Refer National Code
Explanatory Guide Part D
Standard 2
14. PRISMS REPORTS
TO HELP YOU MONITOR YOUR COMPLIANCE:
Course Cost Comparison
Course Duration Comparison
Student and COE report
Individual Provider Report
Student Welfare Report
Student Transfers Report
15. Key changes to ESOS Act 2000
Big changes were made in July 2012, this is now over 18
months ago you must ensure you are compliant!
Additional changes took place December 2013 around
Prepaid ~ Tuition fees which would affect your refund policy
wording at the minimum.
Changes to Refunds July 2014
http://www.comlaw.gov.au/Details/F2014L00907/
16. LINKS TO ESOS LEGISLATION
FAQS• 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
July 12 changes)
• FAQS December 13 ESOS changes:
https://prisms.deewr.gov.au/Information/News/News.aspx?NewsId=485
• Amendments to the ESOS Regulations and Refund Instrument - 4 July 2014
https://prisms.deewr.gov.au/Information/News/News.aspx?NewsId=493
http://www.comlaw.gov.au/Details/F2014L00907
http://www.comlaw.gov.au/Details/F2014L00907/Explanatory
%20Statement/Text *Ensure refund policy is up to date.
17. FOLLOW UP ACTION:
1. Ensure all of your staff are using correct versions of forms and templates
2. Ensure all staff know where to find current policies and procedures
3. Ensure staff are not using their own ‘revised versions’
4. Check PRISMS reports regularly
5. Check you have a policy and procedure for every standard of the National Code
6. Review your Letter of Offer and Written Agreement to ensure compliance from July 12
July 13 & 14
7. Review your website for currency regularly
8. Review all of your agreements/arrangements/MOUs/leases for currency
9. Ensure you have evidence to prove procedures have been implemented
10. Ensure anything that should be signed is signed.
11. Review student files from current backwards – keep records on files
12. Back up electronic files regularly.
13. Review your scope for domestic students and CRICOS regularly to ensure all are current
versions.
18. SUMMARY
1. Current ACRONYMS
2. Identify each of the Top 10 Non Compliances
3. Using PRISMS reports to help you manage your own compliance
4. Areas / checks to focus on
5. Where to start reviews of your compliance
6. Changes to the ESOS Act 2000 - 1 July 2012 & December 2013 & 14
7. Amendments to the ESOS Regulations and Refund Instrument 4 July
2014
• https://prisms.deewr.gov.au/Information/News/News.aspx?
NewsId=493
• http://www.comlaw.gov.au/Details/F2014L00907
