ESOS Compliance Policy

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.

1.2 This policy should be read in conjunction with the Student Rights and Responsibilities Policy, the Student Rules and Information for 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 at UTS on a student visa, and
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 university's strategy.

3.2 UTS works to provide a positive learning environment and appropriate support services for international students in line with the Student Rules, the Equity, Inclusion and Respect Policy, the Student Rights and Responsibilities Policy and the Support for Students Policy.

3.3 UTS provides all international students with appropriate information relating to the ESOS Framework, including their rights and responsibilities (refer Your rights and responsibilities).

3.4 UTS recognises the vulnerability of international students to modern slavery. UTS will work to identify, prevent, mitigate and remediate modern slavery risks (refer Eradicating modern slavery).

3.5 UTS will manage its registered education agents requiring them to act honestly and ethically and in the best interests of international students.

4. Policy statements

ESOS Framework

4.1 The management of international students is governed by the ESOS Framework, including but not limited to the:

Education Services for Overseas Students Act 2000 (Cwlth) (the ESOS Act), and
National Code of Practice for Providers of Education and Training to Overseas Students 2018 (Cwlth) (the national code).

4.2 UTS must comply with the ESOS Framework to maintain registration on the Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS). UTS must include its CRICOS registered name and number, as well as TEQSA provider ID and category, on printed and online material, including its website, course information, applications, offers or other information for international students.

4.3 Staff involved in the recruitment, support, management and administration of international students must be aware of and comply with the ESOS Framework, including any specific responsibilities or obligations.

Compliance and implementation

4.4 In addition to the UTS Rules and policies, UTS International (UTSI) has developed mandatory protocols and procedures that outline responsibilities required by the ESOS Framework. Staff must follow the protocols and procedures related to their work, including the:

ESOS Compliance Standard Operating Principles and Procedures Manual (available at ESOS compliance (Staff Connect))
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.

4.5 Specific requirements may relate to individual staff roles, including, but not limited to, in UTSI, the Lifetime Learner Experience Unit (LLEU), the Graduate Research School (GRS) and faculties.

4.6 Reassignment of any responsibilities outside those identified in this policy (or other procedures) must be included in service level agreements approved in line with the UTS Delegations.

4.7 The Protocol on refund of fees for international students outlines UTS’s terms and conditions for fees and refunds that international students agree when accepting an offer to enrol in a UTS course. This is included with the official letter of offer.

4.8 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.

4.9 In compliance with the national code, UTS is committed to the protection and welfare of international students under the age of 18.

The Under 18 protocol articulates UTS’s legal requirements and processes, including accommodation and welfare arrangements for younger international students.
The Child Protection Policy outlines UTS’s requirements for Working with Children Checks and report and manage instances of child abuse.

4.10 Under the national code, UTS must ensure that international students have access to appropriate support services, including, but not limited to:

information on living and studying in Australia
information on their course
a designated student contact officer, and
information on how to seek assistance for, and report, an incident, including critical incidents (refer Critical Incident Response Policy).

4.11 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)).

Resourcing and reviews

4.12 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.

4.13 To ensure UTS processes and procedures meet industry standards, 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.

4.14 UTS will undertake regular internal and external reviews and audits to ensure ongoing compliance with the ESOS Framework.

Agent management

4.15 UTS manages its education agents in compliance with the national code, including ensuring that all of its agents enter into a written agreement with the university (refer ESOS Compliance Manual for agent management procedures (available at ESOS compliance (Staff Connect)).

Quality management and compliance audits

4.16 Staff involved in implementing UTS’s obligations under the ESOS Framework must take part in review and improvement processes to ensure continued best practice. Consultation with UTSI (regarding ESOS compliance requirements) is encouraged.

4.17 UTSI must undertake compliance audits and reporting activity in line with this policy and the ESOS Framework. UTSI, in consultation with the Internal Audit Director, is responsible for coordinating an external audit as part of the CRICOS registration renewal process every 5 or 7 years.

4.18 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 before renewal of UTS’s CRICOS registration to inform the re-registration of UTS. The results of this audit are provided to the designated authority, the Tertiary Education Quality and Standards Agency (TEQSA).

4.19 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 UTS’s risk framework and strategic direction.

Records management

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.

Complaints

4.21 Enrolled international students may make complaints in line with the Student Complaints Policy.

Compliance breaches

4.22 Staff must notify their supervisor and UTSI of any potential, likely or actual compliance breach of the ESOS Framework or this policy.

4.23 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).

5. Roles and responsibilities

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, which is the key implementation document
in consultation with UTS College, the UTS Foundation Studies ESOS Compliance Standard Operating Principles and Procedures Manual
the Protocol on refund of fees for international students
the UTS Release Protocol, and
the Under 18 protocol for international students.

5.3 Implementation and governance roles: 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.

UTSI is responsible for:

training and guidance for staff to understand and comply with the ESOS Framework (refer ESOS compliance (Staff Connect))
communicating updates or changes to the ESOS Framework and its implications for UTS
in consultation with LLEU, GRS and faculties, developing and maintaining the ESOS Compliance Standard Operating Principles and Procedures Manual
in consultation with LLEU and GRS, implementing the Protocol on refund of fees for international students and the Tuition Protection Service (TPS); and developing the UTS Release Protocol and the Under 18 protocol for international students, and
in consultation with UTS College, developing and maintaining the UTS Foundation Studies ESOS Compliance Standard Operating Principles and Procedures Manual.

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 Department of Education that covers the provision of education and services to international students.

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	2028
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.
2.0	Vice-Chancellor	14/07/2024	17/07/2024	Full review.