1. ESOS COMPLIANCE PROCESS 26 FEBRUARY 2015

2. REGULATORY APPROACH

4. Notice of Review Submission of evidence Review of evidence Follow up (e.g. site visit, call for more evidence, clarification) Report provided Recommendation to DoE CRICOS REVIEW PROCESS

5. ELEMENTS OF THE REVIEW 1.Guidelines 2.Checklist 3.Submission of evidence 4.Review of evidence 5.Report on level of compliance

6. 1. GUIDELINES The Guidelines are explicit, detailed, comprehensive Read them anyway And ….. go back to the Guidelines if something on the Checklist doesn’t make sense

7. 2. CHECKLIST The Checklist is condensed from the Guidelines It has space to note the names of documents you provide or wish to tender for evidence It has space to check off compliance as you go Some items can be marked “NA”

8. 3. EVIDENCE Submit electronically wherever possible Decide whether to include student files in the submission One document could cover several compliance elements e.g. IS Handbook, links to your website

9. 3. EVIDENCE Be specific about pages, paragraphs that are relevant to a particular element Note your evidence in the checklist document – Some evidence is easily documented (policy and procedure) – Some evidence is less easily documented (how it works in practice)

10. 3. EVIDENCE - EXAMPLE Make a folder for each element Drop in the relevant documents Note each one in the Checklist MORE EXAMPLES

11. 4. REVIEW Submit a copy of the checklist Include documentation as evidence of compliance Reviewers will judge & note compliance against the criteria (in the Guidelines) If Reviewers aren’t sure they will follow up with you

12. 5. REPORT The Report notes compliance about each of the topics in the Guidelines Sometimes commentary is provided to summarise evidence A summary statement notes whether re- registration will be recommended

13. QUESTIONS?

14. EXAMPLE - 3.9.2 a procedure to confirm in writing and update at least every six months, student contact details including address, mobile phone number and email address GO BACK!

15. EXAMPLE - 3.13.3 evidence that the provider has communicated to a student any decision in response to the student’s request for a transfer and the reasons for the provider’s decision GO BACK!

16. EXAMPLE 3.13.4 for each student enrolled during the current period of approval, records (as relevant) in the student’s file of: -an enrolment offer from a new provider kept on the student’s file -the provider’s decision in response to such requests and the reasons for the provider’s decision GO BACK!

17. EXAMPLE: 3.18.1 if course credit has been granted for a student enrolled during the current period of approval, records in the student’s file of: -the course credit granted and evidence of the basis for granting the credit GO BACK!

18. EXAMPLE - 3.12.2 information about support services provided to students with specific reference to: -the provider’s student support personnel -the services available to assist students to meet course requirements and maintain attendance GO BACK!