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‘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).
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.
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.
Presentation Overview
Mounting Pressure on Non-Government Schools
Legal & Regulatory Framework
The Compliance Challenge
ISO 19600:2015 – Compliance Management Systems
Conclusions and Recommendations
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
Presentation Overview
Mounting Pressure on Non-Government Schools
Legal & Regulatory Framework
The Compliance Challenge
ISO 19600:2015 – Compliance Management Systems
Conclusions and Recommendations
Legal & Regulatory Framework
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
Presentation Overview
Mounting Pressure on Non-Government Schools
Legal & Regulatory Framework
The Compliance Challenge
ISO 19600:2015 – Compliance Management Systems
Conclusions and Recommendations
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
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
Presentation Overview
Mounting Pressure on Non-Government Schools
Legal & Regulatory Framework
The Compliance Challenge
ISO 19600:2015 – Compliance Management Systems
Conclusions and Recommendations
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
Presentation Overview
Mounting Pressure on Non-Government Schools
Legal & Regulatory Framework
The Compliance Challenge
ISO 19600:2015 – Compliance Management Systems
Conclusions and 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.
Presented by : David Griffiths
Managing Director CompliSpace Pty Ltd
© CompliSpace Pty Ltd 2011
www.complispace.com.au
Thank you