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The Governance, Risk and Compliance Challenge for WA Independent Schools

27/08/12
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Anyone who has ever been involved in the management of a school will immediately recognise the extent of the governance, risk management and compliance challenges that schools face.

Most independent schools do not have the human or financial resources of large corporations. Rarely do they have internal lawyers or experienced risk or compliance managers.  As a result, time-poor Principals, senior staff, Bursars, Business Managers and Registrars are often forced to add risk management and compliance to their never-ending list of daily responsibilities.

Once responsible individuals scratch the surface of risk management and compliance, they quickly realise it is simply one piece of the jigsaw.

The real challenge for independent schools is to develop an integrated governance, risk and compliance framework which includes effective documentation of internal policies and procedures, staff training and the implementation of a system to monitor the school’s overall performance and to provide meaningful reporting outcomes to the school executive and the governing body.

Properly implemented, such a framework will add real value to the school’s operations and avoid a situation where compliance is viewed as an ongoing administrative burden.

The Compliance Environment for WA Independent Schools

Since the Registration Standards for Non-Government Schools in Western Australia (WA Registration Standards) were first published in January 2004, they have been amended no less than five times (on average once every 18 months). The latest iteration, published in January 2012, indicates there will be yet further refinement to the WA Registration Standards by the end of 2012.  Given that many independent schools are only required to renew their registration once every four or five years, the speed of change is significant.

Add to this:

  • the 56+ pieces of Commonwealth and State legislation that are listed within Criteria 12 of the WA Registration Standards as being relevant to independent schools; and
  •  the requirements of the new National Quality Framework for Early Childhood Education and Carewhich applies to schools offering preschool/kindergarten, or outside school hours care services;

and the extraordinary compliance burden of WA Independent Schools becomes self-evident.

WA Registration Standards – Governance, Risk and Compliance Obligations

The latest version of the WA Registration Standards (January 2012) are contained in a 46 page document which outlines the following 12 criteria that have been drawn from legislated registration requirements:

  • Criteria 1 – Governance and Accountability
  • Criteria 2 – Student Learning
  • Criteria 3 – Curriculum
  • Criteria 4 – Level of Care
  • Criteria 5 – Financial Management
  • Criteria 6 – Staff and Management
  • Criteria 7 – Physical Environment
  • Criteria 8 – Enrolment and Attendance
  • Criteria 9 – Number of Students
  • Criteria 10 – Time for Instruction
  • Criteria 11 – Complaints Management
  • Criteria 12 – Compliance with Laws

Detailed examination of the WA Registration Standards reveals over 120 discreet compliance obligations, with many of these obligations in themselves creating further obligations.

A classic case in point is the obligation in Criteria 12 to ensure the school complies with the legal requirements associated with its operation.   As noted above, the WA Registration Standards then go on to list 56+ individual pieces of Commonwealth and State legislation which may apply to a school’s operation.

Also contained within the WA Registration Standards are obligations for schools to maintain a robust governance and risk management infrastructure which includes (but is certainly not limited to) the establishment, implementation and maintenance of:

  • A Risk Management Program (Criteria 1.3)
  • Comprehensive Board Processes (including procedures for evaluating Board performance and managing conflicts of interest) (Criteria 1.3)
  • A School Improvement Plan (Criteria 2.3)
  •  A School Curriculum Plan (Criteria 3.1)
  • A robust suite of Student Welfare, Safety and Health Policies (Criteria 4)
  • A robust suite of Staff Induction, Performance Management and Professional Learning Policies (Criteria 6.4)
  • An Occupational Health & Safety Program (Criteria 7.4)
  • A comprehensive and accessible Complaints Handling Program (Criteria 11).

While, anecdotally, many schools (especially those with four to five year registration cycles), spend considerable time and expense bringing all their documentation up to speed in the period prior to inspection, it is important to recognise that the WA Registration Standards reflect a continuing compliance obligation, not a hurdle to be jumped every four or five years.

Additionally, the WA Department of Education Services supporting document Getting the most out of the Renewal of Registration process for your school states that the process of registration renewal is primarily designed to examine the extent to which a school is “maintaining a minimum standard of education and accountability for quality educational programs, the safety and welfare of students and legal compliance.”

Drawing the preceding paragraphs together, the WA Registration Standards make it clear that the obligation to comply is a continuing obligation to maintain minimum standards.  That these are minimum standards is supported by the fact that the WA Registration Standards do not extend to cover areas such as Business Continuity Management and Fraud and Corruption Control, which are now regarded as key components in the governance programs of many Australian organisations.

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About the Author

CompliSpace

CompliSpace is Ideagen’s SaaS-enabled solution that helps organisations in highly-regulated industries meet their governance, risk, compliance and policy management obligations.

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