‘the challenges faced by non-government schools in...

‘The Challenges Faced by Non-Government

Schools in Complying with a Complex Matrix of

Ever-Changing Laws, Regulations and

Regulatory Guidance’

ANZELA National Conference 2015

Presented by David Griffiths

© CompliSpace Pty Ltd 2015

www.complispace.com.au

Compliance Defined

‘Compliance: the act or instance of complying; obedience

to a risk or command; or the state or fact of according with

or meeting rules or standards’

The Australian Oxford Dictionary (Oxford University Press, 2nd edition, 2004).

Compliance: What does it really mean?

Presentation Overview

Mounting Pressure on Non-Government Schools

Legal & Regulatory Framework

The Compliance Challenge

ISO 19600:2015 – Compliance Management Systems

Conclusions and Recommendations

We must be fully compliant all of the time

– Full compliance is impossible

– Perfection = enemy of progress

‘Great Big List Approach to Compliance’

“We need a complete list of every law that we need to be compliant with

then we must comply with them.”

– List would never end

– List of primary and ancillary laws needed using a risk based

approach.

We only need to be compliant at re-registration.

– Compliance must be continuous.

Registration Compliance is Enough

– Other legal and regulatory compliance requirements e.g. WHS, Student

Duty of Care, Workplace Relations, Privacy.

We treat compliance as a compliance issue

– Compliance doe NOT stand alone. It is not a tick and flick function.

– Compliance is a key part of a school’s governance framework and

affects all functions and areas of a school.

If I ignore it, it will go away!

Non-Government

School

Registration

Standards

International

Students

Vocational Training

AQTF / ASQA

Early Childhood

National Quality

Standards

Workplace Safety

Student Duty of

Care

Privacy

Child Protection

Boarding

Food Safety

Events

Management Excursions

Pressure on Schools - Compliance Drivers Educational Compliance

Pressure on Schools – Public Inquiries

Pressure on Schools – Stakeholder/ Societal Expectations

Pressure on Schools – Reputation

Pressure on Schools – Funding


Hard Law (primary

source)

Hybrid Law

(secondary source) Soft Law (guidance)

Common Law

(Judicial interpretation)

General

Law

Corporations Act

Fair Work Act

WHS/OHS/OSH

Privacy

Tax

State & Federal

Regulator Policies Regulator Guidelines Judicial Interpretation of the

law includes consideration of

Hard, Hybrid and Soft Law.

“The role of the court is to articulate and apply a standard of care that reflects contemporary community expectations” Austin J ASIC V Rich (2003)

44 ACSR 341

Education

Specific

Law

e.g.

Child Protection

Laws

Education Laws

(state based)

e.g.

State education

regulator non-

government school

registration

requirements

e.g.

Regulator guidelines

Codes of Ethics

Standards:

Risk Management -

AS/ISO 31000

Compliance – AS/ISO

19600

Complaint Handling –

ISO 10002

Governance (8000s)

Regulator Guidelines

Complex Mix of Regulatory Oversight

Compliance does not work in a vacuum

Ethics / Culture

Governance

Risk

Compliance

Incident

Management

Governance Defined

“the practices, policies, procedures, principles and values that guide a school and its business every day, at all levels of the organisation.”

Source: Wikipedia

Policies & Procedures

Practices

Principles, Values Guide a

School

Everyday, All Levels

Documentation

Leadership, Culture,

Management

Training, Embedding,

Assurance

It’s Continuous.

Board

Governance

Governance Defined

Organisational

Governance

Regulatory

Governance

=

Laws &

Regulations

+

Regulatory

Supervision

Overseeing Role

Strategy

Board / Executive

Effective Governance

Monitor Performance

Board Management

Decision Making

Implement Strategy

Develop Culture

Establish Systems

Staff Training

Record Keeping

Financial Reporting

Non-Financial

Reporting

Education

Acts

Registration

WHS

Duty of Care

Fair Work

Risk

Management Good

Management

a) Creates value

b) Integral part of

organisational processes

c) Part of decision making

d) Explicitly addresses

uncertainty

e) Systematic, structured &

timely

f) Based on the best

available information

g) Tailored

h) Takes human & cultural

factors into account

i) Transparent & inclusive

j) Dynamic, iterative and

responsive to change

k) Facilitates continual

improvement &

enhancement of the

organisation

11 Principles for

managing risk

(Clause 4)

5.3

Design of

framework for

managing risk

5.2

Mandate &

commitment

5.6

Continual

improvement of

the framework

5.4

Implementing

risk

management

5.5

Monitoring &

review of the

framework

Framework for

managing risk

(Clause 5)

(Clause 4)

Process for

managing risk

International Risk Management Standard AS/NZS ISO 31000

Risk

Management –

The Process

Source AS/NZS

ISO 31000 of

2009

www.standards.com.au

C

O

M

M

U

N

I

C

A

T

E

&

C

O

N

S

U

L

T

M

O

N

I

T

O

R

&

R

E

V

I

E

W

Risk identification

Risk analysis

Risk evaluation

Risk Treatment

Risk Assessment

Establishing the Context

Compliance (ISO 19600) Legal & Regulatory

Organisational

Contractual

Risk (ISO 31000) Profile constantly changes

as an organisation matures & its

environment changes

Risk Treatment Tasks

Changing Risk Profile

Compliance & Risk work hand in hand

Incidents e.g. Complaints

Injuries, near misses

breaches

Compliance Standard – Key Elements

Compliance Standard – Key Issues

Leadership & Commitment

Integrated Governance Framework

Risk based approach to compliance

Policies, Procedures & Processes

Resource Allocation & Accountability

Training & Record Keeping

Values Based Culture

Performance Evaluation & Reporting

Improvement

Compliance – Related Governance Tools

Risk Management (ISO 31000)

Complaints Handling (ISO 10002)

Boarding Standard (AS 5725:2015)

OHS Management System Standard (AS/NZS 4801:

2001)

Fraud & Corruption Control (AS 8001)

Business Continuity (AS/NZ 50:50)

Student Duty of Care Program

Human Resources Program

Privacy Program

Policy Management Program

Conclusion & Recommendations

Recommendation 1 – Understand your current state

Take steps to ‘know what you don’t know’

Policy audit

Understand your governance, risk and

compliance maturity

Recommendation 2 – Vision & Plan

Develop a vision and plan

Adopt a balanced approach

Use standards as roadmaps for guidance

Leadership and commitment is key

Recommendation 2 – Policy Management Framework

Implement an effective policy management framework

Policies,

Programs &

Procedures

Communicate

Effectively

Training & testing

critical for ensuring

policies are understood

and adopted.

Feedback

loops to

assess

effectiveness.

Identify and

capture key

risks &

compliance

obligations

Monitor

performance

of risks &

tasks.

Control

through

escalation

Continuous

improvement

Assign

them to

key task

owners

Report

and

measure

Records

maintained of

all training &

testing.

Recommendation 4 – Consider Technology Solutions

Practical Effects of Compliance

Presented by : David Griffiths

Managing Director CompliSpace Pty Ltd

[email protected]

© CompliSpace Pty Ltd 2011

www.complispace.com.au

Thank you

‘the challenges faced by non-government schools in...

Documents