ESOS Compliance Self-Assessment

Question 1 Agents

Do you have written agreements with all education agents you engage?

Yes No

Question 2 Agents

Do you conduct due diligence to ensure agents have appropriate knowledge and training?

Formal vetting process with documented training requirements Basic background checks conducted Rely on agent reputation only No due diligence process

Question 3 Agents

Do you ensure agents comply with marketing requirements?

Regular audits of agent marketing with documented oversight Periodic review of agent materials Reliance on agent self-reporting No monitoring of agent marketing

Question 4 Agents

How often do you review agent performance?

Quarterly formal review with documented outcomes Six-monthly review Annual review only No regular performance reviews

Question 5 Agents

Do you have procedures for terminating or suspending agents engaged in misconduct?

Yes No

Question 6 Agents

Do you publish a list of your education agents on your website?

Yes No

Question 7 Agents

Do you track student outcomes by agent for quality monitoring?

Comprehensive tracking with performance dashboards Basic tracking of enrolments and completions Minimal tracking No tracking by agent

Question 8 Attendance

Are you required to monitor attendance?

Yes No

Question 9 Attendance

Do you systematically monitor student attendance?

Daily monitoring with automated alerts for absences Weekly monitoring with intervention triggers Fortnightly monitoring Monthly or less frequent monitoring No systematic monitoring

Question 10 Attendance

Does your attendance policy state a minimum attendance requirement of 80%?

Yes No

Question 11 Attendance

Do you maintain accurate attendance records for all students?

Electronic system with real-time tracking and reporting Electronic system with daily/weekly updates Manual records updated weekly Inconsistent or incomplete records

Question 12 Attendance

Do you intervene when students are at risk of not meeting attendance requirements?

Formal intervention strategy with multiple stages and documentation Warning letters and counselling offered Informal warnings only No intervention process

Question 13 Attendance

Do you provide 20 working days notice before reporting students for attendance breaches?

Yes No

Question 14 Attendance

How quickly do you identify students falling below attendance requirements?

Within 1 week of falling below threshold Within 2 weeks Within 1 month At end of study period only

Question 15 Complaints

Do you have a documented internal complaints and appeals policy?

Yes No

Question 16 Complaints

Can students access your complaints and appeals process at no cost?

Yes No

Question 17 Complaints

Do you acknowledge receipt of complaints and appeals in writing?

Yes No

Question 18 Complaints

Do you finalize complaints within a reasonable timeframe?

Documented timeframes with tracking and escalation Target timeframes exist but not always met No defined timeframes Complaints often delayed significantly

Question 19 Complaints

Do you inform students of their right to external appeals through the Overseas Students Ombudsman?

Yes No

Question 20 Complaints

Do you maintain student enrolment during internal appeals for provider-initiated actions?

Yes No

Question 21 Complaints

Do you keep records of all complaints and appeals and their outcomes?

Comprehensive records with tracking system and analytics Records kept but not systematically tracked Partial records only No systematic record keeping

Question 22 Complaints

Are your complaints and appeals processes based on principles of natural justice?

Yes No

Question 23 Documentation

Do you have a written agreement that students sign before or at the time of accepting payment?

Yes No

Question 24 Documentation

Does your written agreement include the course name and CRICOS course code?

Yes No

Question 25 Documentation

Does your written agreement clearly state total tuition fees and payment terms?

Yes No

Question 26 Documentation

Does your written agreement itemize all non-tuition fees?

Yes No

Question 27 Documentation

How do you maintain student records and documentation?

Fully digitized with automated backup and audit trails Digital records with manual backup procedures Mix of digital and paper records Primarily paper-based records

Question 28 Documentation

Do you have a documented process for notifying the ESOS agency of changes to your registration?

Yes No

Question 29 Governance

Do you have sufficient resources to deliver courses to all accepted students?

Resource planning with buffer capacity Resources adequate for current students Resources sometimes stretched Regular resource constraints

Question 30 Governance

Can you demonstrate ongoing financial viability and capacity?

Yes No

Question 31 Governance

Do you employ appropriately qualified staff to deliver courses?

All staff meet or exceed qualification requirements with documented verification Most staff fully qualified, some pending Staff qualifications not fully documented Qualification gaps exist

Question 32 Governance

Do you have appropriate facilities and equipment for course delivery?

Facilities exceed requirements and regularly audited Facilities meet requirements Some facility improvements needed Significant facility gaps

Question 33 Governance

How do you ensure staff are aware of compliance obligations?

Regular training with documented attendance and assessment Annual compliance training provided Training provided at induction only No formal compliance training

Question 34 Governance

Do you have a documented policy for deferring, suspending, or cancelling student enrolment?

Yes No

Question 35 Governance

Do you report deferral, suspension, or cancellation to PRISMS within required timeframes?

Yes No

Question 36 Governance

Do you have policies preventing active recruitment of students within 6 months of their principal course commencing?

Yes No

Question 37 Governance

Do you assess transfer requests within a reasonable timeframe?

Documented timeframe with tracking (e.g., within 10 working days) Usually processed within 2 weeks Timeframe varies significantly No defined timeframe

Question 38 Governance

Do you create CoEs through PRISMS and report changes as required?

Yes No

Question 39 Marketing

Is your marketing information accurate and free from false or misleading claims?

All materials reviewed and approved before publication Most materials reviewed, occasional gaps Some review process exists No formal review process

Question 40 Marketing

Does all marketing material display your CRICOS registration name, provider code, and course codes?

Yes No

Question 41 Marketing

Is information about course content, delivery locations, and entry requirements accurate in your marketing?

Yes No

Question 42 Marketing

How often do you review and update marketing materials?

At least quarterly with documented review process Every 6 months Annually Rarely or never

Question 43 Marketing

Do you have procedures to ensure website information matches official course details?

Yes No

Question 44 Academic Progress

Do you have a documented course progress policy?

Yes No

Question 45 Academic Progress

Do you clearly articulate course progress requirements to students?

Written requirements in agreement, orientation, and ongoing reminders Requirements explained at orientation Requirements mentioned in written agreement only Requirements not clearly communicated

Question 46 Academic Progress

Do you have documented intervention strategies for students at academic risk?

Formal multi-stage intervention with case management Standard support and tutoring offered Ad-hoc support when issues identified No documented intervention strategy

Question 47 Academic Progress

Do you report to the Department of Home Affairs when students do not meet course requirements?

Yes No

Question 48 Academic Progress

How often do you assess student academic progress?

Continuous assessment with regular checkpoints End of each study period/term Mid-course and end of course only End of course only

Question 49 Academic Progress

Do you keep evidence of compassionate and compelling decisions?

Detailed records with supporting documentation and approval workflow Written records of decisions kept Informal records only No records maintained

Question 50 Refunds

Does your written agreement include your refund policy with reference to ESOS Act requirements?

Yes No

Question 51 Refunds

Do you refund non-tuition fees in visa refusal cases?

Yes No

Question 52 Refunds

Do you process refunds within the required 4-week timeframe for provider default?

Yes No

Question 53 Refunds

Do you process refunds within the required 4-week timeframe for visa refusal?

Yes No

Question 54 Refunds

Is your refund calculation method clearly documented and compliant with s47E?

Fully documented, regularly reviewed, and compliant Documented but not recently reviewed Partially documented Not documented or unclear

Question 55 Refunds

How do you handle refunds when students withdraw before course starts?

Clear policy with defined refund schedule, processed within 4 weeks Policy exists but processing sometimes delayed Case-by-case basis No clear process

Question 56 Student Support

Do you provide an orientation program for new students?

Comprehensive multi-day orientation with cultural support Half-day orientation covering essential information Basic orientation materials provided Minimal or no formal orientation

Question 57 Student Support

Do you provide pre-arrival information and support to accepted students?

Yes No

Question 58 Student Support

Do you provide students with access to welfare services, emergency assistance, and health services?

Yes No

Question 59 Student Support

Do you have a documented critical incident policy with emergency response procedures?

Yes No

Question 60 Student Support

Do you inform students about visa conditions relating to course progress and attendance?

Yes No

Question 61 Student Support

Do you provide students with contact details for student support services staff?

Yes No

Question 62 Student Support

Do you have documented policies for accommodation, support, and welfare of students under 18?

Yes No