ESOS Compliance Policy
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Purpose | Scope | Principles | Policy statements | Policy owner and contact | Definitions | Approval information | Version history | References
1. Purpose
1.1 The ESOS Compliance Policy (the policy) sets out the obligations and responsibilities required under the Australian Government's Education Services for Overseas Students (ESOS) Framework. These requirements cover UTS’s recruitment, administration and support of international students.
2. Scope
2.1 The policy applies to:
- all staff and affiliates (hereafter staff) who are involved in the recruitment, administration and support of international students’ study (or intention to study) at UTS on a student visa, and
- all current and prospective international students who study (or who intend to study) at UTS on a student visa.
3. Principles
3.1 UTS is committed to providing high-quality education to international students, in line with the UTS 2027 strategy.
3.2 UTS works to ensure international students have access to appropriate support services and a positive learning environment in line with the Student Rules, the Equity, Inclusion and Respect Policy and the Student Rights and Responsibilities Policy.
3.3 UTS will ensure that all international students are provided with appropriate information relating to the ESOS Framework, including their rights (refer Your rights as an international student) and responsibilities (refer Your responsibilities as an international student). This is in addition to information outlined in the Student Rights and Responsibilities Policy, the Student Rules and at Information for international students.
3.4 To ensure UTS processes and procedures meet industry standards, UTS International (UTSI) will maintain ongoing communication with other universities to engage in benchmarking activities, joint projects, knowledge sharing and participation in ESOS reference groups, Universities Australia and the Australian Universities International Directors’ Forum.
3.5 UTS will manage all critical incidents in line with the Critical Incident Response Policy.
3.6 UTS will undertake regular internal and external reviews and audits to ensure ongoing compliance with the ESOS Framework.
4. Policy statements
ESOS Framework
4.1 The management of international students must comply with the ESOS Framework, including but not limited to the:
- Education Services for Overseas Students Act 2000 (Cwlth) (the ESOS Act), and
- standards outlined in the National Code of Practice for Providers of Education and Training to Overseas Students 2018 (Cwlth) (the national code), as amended from time to time.
4.2 UTS must comply with the ESOS Framework to maintain registration on the Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS).
4.3 Staff involved in the recruitment, support, management and administration of international students must be aware of and comply with the ESOS Framework and any role-specific responsibilities or obligations under this framework.
4.4 UTSI is responsible for:
- training and guidance for staff to understand and comply with the ESOS Framework (refer ESOS compliance (Staff Connect))
- developing, maintaining and publishing information, procedures and guidance to support this policy, and
- communicating updates or changes to the ESOS Framework and its implications for UTS via broadcast emails, targeted emails, workshops and/or information sessions.
UTS ESOS compliance implementation
4.5 UTSI has developed and published information, procedures and guidance (hereafter procedures) for UTS staff that outline staff responsibilities as required by the ESOS Framework, including:
- ESOS Compliance Standard Operating Principles and Procedures Manual and the UTS Foundation Studies ESOS Compliance Standard Operating Principles and Procedures Manual (available at ESOS compliance (Staff Connect))
- Protocol on refund of fees for international students
- UTS Release Protocol
- Under 18 protocol for international students.
4.6 Specific requirements may relate to individual staff roles, including, but not limited to positions within UTSI, the Lifetime Learner Experience Unit (LLEU), Graduate Research School (GRS), faculties, and other administrative and support units.
4.7 Reassignment of any responsibilities outside those named in this policy or procedures must be included in service level agreements approved in line with the UTS Delegations.
4.8 Staff must work in accordance with the principles and procedures set out in the ESOS Compliance Standard Operating Principles and Procedures Manual (the manual), available at ESOS compliance (Staff Connect). The manual is developed and maintained by UTSI in consultation with LLEU, GRS and faculties, and approved by the Pro Vice-Chancellor (Global Partnerships).
4.9 Staff involved in the delivery of the UTS Foundation Studies program must follow the requirements outlined in the UTS Foundation Studies ESOS Compliance Standard Operating Principles and Procedures Manual (the foundation studies manual), available at ESOS compliance (Staff Connect). The foundation studies manual is managed by UTSI in consultation with UTS College and approved by the Pro Vice-Chancellor (Global Partnerships), in consultation with the Registrar, UTS College.
4.10 UTS must provide adequate resources to ensure compliance with the ESOS Framework. Where resources are not sufficient to meet compliance obligations, these must be identified and notified to the relevant budget approval authority in line with the Delegations as part of the continuous review process.
4.11 UTSI (in consultation with LLEU and GRS) is responsible for the Protocol on refund of fees for international students in line with the ESOS Framework and the requirements of the Tuition Protection Service (TPS).
4.12 The Protocol on refund of fees for international students outlines UTS’s terms and conditions associated with fees and refunds to which international students agree when accepting an offer to enrol in a UTS course. This is included with the official offer letter.
4.13 Marketing, recruitment and communication related to international students must meet ESOS requirements as outlined at ESOS compliance (Staff Connect) and the UTS brand guidelines (refer UTS brand and visual identity (Staff Connect)).
Requirements of the national code
4.14 To meet the legislative requirements of the national code, UTSI is responsible for the development and publication of any relevant guidelines including (but not limited to) the UTS Release Protocol and Under 18 protocol for international students (the U18 protocol).
4.15 The UTS Release Protocol has been developed to:
- assess international student transfer requests to another CRICOS registered provider before the completion of the restricted period, and
- establish the appeal procedure that applies if an international student transfer request is refused.
4.16 The U18 protocol informs and guides staff and international students on UTS’s legal requirements and processes, including requirements for Working with Children Checks (refer also Child Protection Policy).
4.17 These protocols are developed and managed by UTSI, LLEU and GRS, and are approved by the Pro Vice-Chancellor (Global Partnerships).
Quality management and compliance audits
4.18 Staff involved in implementing UTS’s obligations under the ESOS Framework must take part in an annual review and improvement process to ensure continued best practice. Consultation with UTSI (regarding ESOS compliance requirements) is encouraged.
4.19 UTSI must undertake compliance audits and reporting activity in line with this policy and the ESOS Framework.
4.20 All records and documentation relating to international student recruitment, management, administration and support must be managed in line with the Records Management Policy and the Privacy Policy.
4.21 UTS compliance with the national code is assessed through an independent external audit (including an inspection of the premises). The audit is undertaken within 18 months prior to renewal of UTS’s CRICOS registration to inform the re-registration of UTS. The results of this audit are to be provided to the designated authority, the Tertiary Education Quality Standards Agency (TEQSA).
4.22 UTSI in consultation with the Director, Internal Audit is responsible for coordinating an external audit as part of the CRICOS registration renewal process every five years.
4.23 The Audit and Risk Committee of the UTS Council may identify the need for further audits to ensure compliance and retain registration status based on the UTS risk framework and strategic direction.
ESOS compliance breaches and complaints
4.24 Staff must notify their supervisor and UTSI of any potential, likely or actual compliance breach of the ESOS Framework or this policy as soon as it is identified.
4.25 UTSI will investigate and take appropriate action in line with the Student Rules, the Code of Conduct and, where relevant, as required by the ESOS Framework. All investigations will be reported to the Pro Vice-Chancellor (Global Partnerships) and the Deputy Vice-Chancellor (International).
4.26 Staff are invited to provide feedback and to recommend improvements relevant to UTS’s ESOS compliance either to their line manager or UTSI, at any time.
4.27 Enrolled international students, like all UTS students, may make complaints in line with the Student Complaints Policy.
5. Policy owner and contact
5.1 Policy owner: The Deputy Vice-Chancellor (International) is responsible for the enforcement of and compliance with this policy, ensuring that its principles and statements are observed.
5.2 Policy contact: The Pro Vice-Chancellor (Global Partnerships) is responsible for the day-to-day implementation of this policy through UTSI and is responsible for approving any associated university level procedures, protocols or statements under this policy, including the ESOS Compliance Standard Operating Principles and Procedures Manual (available at ESOS compliance (Staff Connect)), which is the key implementation document.
The Deputy Director, Compliance, Insights and Relations (UTSI) acts as a primary point of contact for advice on fulfilling the provisions of this policy and provides advice to the policy owner and policy contact.
5.3 Others: UTSI is responsible for compliance activities as outlined in this policy and provides advice on the review process for this policy.
6. Definitions
The following definitions apply for this policy. These are in addition to the definitions outlined in Schedule 1, Student Rules. Definitions in the singular include the plural meaning of the word.
Affiliate is defined in the Code of Conduct.
CRICOS means Commonwealth Register of Institutions and Courses for Overseas Students.
Critical incident is defined in the Critical Incident Response Policy.
ESOS means Education Services for Overseas Students.
ESOS Framework means the relevant legislative and regulatory instruments under the Australian Government’s ESOS Framework.
International student is defined in Schedule 1, Student Rules. International students may also be referred to as overseas students.
Staff is defined in the Code of Conduct.
Working with Children Check is defined in the Child Protection Policy.
Approval information
Policy contact | Pro Vice-Chancellor (Global Partnerships) |
---|---|
Approval authority | Vice-Chancellor |
Review date | 2024 |
File number | UR21/984 |
Superseded documents | ESOS Compliance Vice-Chancellor’s Directive 2009 (UR09/210) |
Version history
Version | Approved by | Approval date | Effective date | Sections modified |
---|---|---|---|---|
1.0 | Vice-Chancellor | 28/07/2021 | 10/09/2021 | New policy. |
1.1 | Deputy Director, Corporate Governance (Delegation 3.14.2) | 22/02/2022 | 22/02/2022 | Minor change to reflect portfolio realignment under Fit for 2027 project. |
1.2 | Director, Governance Support Unit (Delegation 3.14.1) | 19/12/2022 | 22/12/2022 | Minor change to reflect the new Critical Incident Response Policy. |