top 10 non compliances

TOP 10 NON COMPLIANCES FOR

CRICOS PROVIDERS!Version 4 June 15

Debbie Phipps – Rainbow Connextions Pty Ltdwww.rainbowconnextions.com.au [email protected] mobile 0412 093 255

http://www.rainbowconnextions.com.au/

mailto:[email protected]



Key Points1. Current ACRONYMS2. Identify each of the Top 10 Non Compliances 3. Using PRISMS reports to help you manage your own compliance4. Areas / checks to focus on5. 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 changes8. Follow up action9. Summary

ACRONYMSESOS Education Services for Overseas StudentsRTO Registered Training AuthorityASQA Australian Skills Quality AuthorityELICOS English Language Intensive Courses for Overseas StudentsCOE Confirmation of EnrolmentPRISMS Provider Registration and International Students Management System PEO Principal Executive OfficerACPET Australian Council for Private Education and TrainingDET Department of Education & Training *NEW (was DIICCSRTE, DIISRTE, DEEWR,

DEST etc)DET Department of Education, Training (Qld State only) / other State authorities as applicableDIBP Department of Immigration and Border Protection *NEW (was DIAC)TEQSA The Tertiary Education Quality and Standards AgencyNEAS National ELT (English Language Teaching) Accreditation Scheme

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

https://prisms.deewr.gov.au/Logon/Logon.aspx

TOP 10 NON COMPLIANCESNumber 2 –

Not following your own policies and procedures accurately – follow up with new staff in particular


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


Record Keeping – RECORDS THAT MUST BE KEPTAssessment 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 3.05REFER PRISMS - Recordkeeping Guide


MONITORING YOUR EDUCATION AGENTS

CURRENT SIGNED AGREEMENTS!

CURRENT LIST ON YOUR WEBSITE


Outsourcing to other organisations and not monitoring their activity well, not keeping evidence of that monitoring, out of date agreements.


NOT updating financial records on PRISMS EVERY 2 WEEKSUpdate 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

https://prisms.deewr.gov.au/Information/ShowInformation.aspx?Doc=Provider_User_Guide&key=information-provider-user-guide&Heading=


Issuing Confirmation of Enrolments (COE’s) for the wrong duration

AND / ORIssuing COE’s for the wrong cost


Keeping your Accreditation and CRICOS scope current – current versions of courses!!

Allow time for adding new courses Check your accreditation scope and CRICOS scope

TOP 10 NON COMPLIANCESNumber 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 applicableb. the course content and duration, qualification offered if applicable, modes of study and assessment methodsc. campus locations and a general description of facilities, equipment, and learning and library resources available to studentsd. details of any arrangements with another registered provider, person or business to provide the course or part of the coursee. indicative course-related fees including advice on the potential for fees to change during the student’s course and applicable refund policiesf. information about the grounds on which the student’s enrolment may be deferred, suspended or cancelledg. 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

PRISMS REPORTSTO HELP YOU MONITOR YOUR COMPLIANCE:

Course Cost ComparisonCourse Duration ComparisonStudent and COE reportIndividual Provider ReportStudent Welfare ReportStudent Transfers Report

Key changes to ESOS Act 2000Big 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 2014http://www.comlaw.gov.au/Details/F2014L00907/

http://www.comlaw.gov.au/Details/F2014L00907/

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 2014https://prisms.deewr.gov.au/Information/News/News.aspx?NewsId=493http://www.comlaw.gov.au/Details/F2014L00907http://www.comlaw.gov.au/Details/F2014L00907/Explanatory%20Statement/Text

*Ensure refund policy is up to date.

FOLLOW UP ACTION:1. Ensure all of your staff are using correct versions of forms and templates2. Ensure all staff know where to find current policies and procedures3. Ensure staff are not using their own ‘revised versions’4. Check PRISMS reports regularly5. Check you have a policy and procedure for every standard of the National Code6. Review your Letter of Offer and Written Agreement to ensure compliance from July 12 July

13 & 147. Review your website for currency regularly8. Review all of your agreements/arrangements/MOUs/leases for currency9. Ensure you have evidence to prove procedures have been implemented10. Ensure anything that should be signed is signed.11. Review student files from current backwards – keep records on files12. Back up electronic files regularly.13. Review your scope for domestic students and CRICOS regularly to ensure all are current

versions.

SUMMARY1. Current ACRONYMS2. Identify each of the Top 10 Non Compliances 3. Using PRISMS reports to help you manage your own compliance4. Areas / checks to focus on5. Where to start reviews of your compliance 6. Changes to the ESOS Act 2000 - 1 July 2012 & December 2013 & 147. 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