Self-Audit Checklist
Partnership Schools Kura Hourua Assurance Statementand Self-Audit Checklists
February 2017Education Review Office
Box 2799 Wellington,New Zealand
Phone 04 499 2489
How to fill out the Self-Audit Checklists and Assurance Statement
As part of the review process, the Education Review Office (ERO) asks the school management to complete the Assurance Statement and Self-Audit Checklist. The information in each of these documents assists ERO in the scoping and planning of the review.
The more assurance the school management can provide to ERO that it is meeting its legal requirements and taking appropriate action to remedy areas of non-compliance, the greater the emphasis can be on other areas of review. Therefore the accuracy and validity of the information given in the assurance statement and checklists is important for the focus of the review.
Completing the assurance statement and checklists is a useful process for your own self-review. Please read the guidelines,Law Relating to Partnership Schools issued by ERO and the Guidelines for sponsors issued by the Ministry of Education before completing these forms.
How to fill in the Assurance Statement
After you have completed all the checklist sheets please complete and sign the assurance statement. The second page is for school management to note areas where you are aware that you are not meeting legal requirements. There is space to outline the circumstances and the action you are taking on each issue. This information will be very useful for school management as well as for the review.
How to fill in the checklists
The checklists cover requirements of key interest to ERO in the following areas:
- Governance and Management
- Curriculum
- Health, safety and welfare
- Personnel
Please complete each sheet and add any further comments or explanations on the sheet of paper provided. Please use extra paper if you need to. Attach any explanations or matters you are unsure about to the relevant sheet.
Please remember to attach your checklists to your assurance statement.
Partnership School Kurs Hourua Assurance Statement and Self-Audit ChecklistsInstruction Page
Education Review Office
February 2017
Self-Audit Checklist
PARTNERSHIP SCHOOLS Kura Hourua Assurance StatementTo: The Chief Review Officer
Education Review Office
From:The sponsor school management
______(Name ofPSKH School)
Compliance Certification
Has the school management taken all reasonable steps to meet its legal requirementsrelated to:
Compliance Area / Yes / No / Unsure1 / Governance and Management
2 / Curriculum
3 / Health, Safety and Welfare
4 / Personnel
Areas of self-identified non-compliance and actions to be taken: see next page.
Attestation:
The Sponsor and the Chief Executive/Principal have taken all reasonable steps to meet their legal requirements and/or adopt efficient good practice including those detailed in the Partnership School Contract and Ministry of Education Circulars as identified in the Self-Audit Checklist. Where non-compliance has been identified, measures are being taken to remedy this.
Sponsor /Manager......
NameSignatureDate
Chief Executive/Principal......
NameSignature Date
Partnership School Kurs Hourua Assurance Statement and Self-Audit ChecklistsInstruction Page
Education Review Office
February 2017
Self-Audit Checklist
This page is for you to note areas where you are aware that you are not meeting legal requirements and to advise any action you are taking.
Identified area(s) of non-compliance:
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Action being taken to address non-compliance:
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What does ERO want to know?
ERO wants to know that the sponsor has appropriate documents, or policies and/or procedures to support governance/management.Note: References are in brackets where appropriate. Please refer to for all provisions of the Education Act 1989 referred to in this Checklist.
Self-Audit Checklist
Section 1 – Governance and Management
Note: Please put a tick to all questions (including bullet points) / Yes / No / Unsure / N/A1 / Has the sponsor -
A.ensured that it performs its functions and exercises the sponsor’s powers in such a way as to ensure that every student in the school is able to attain his or her highest possible standard in educational achievement? [section 158H Education Act 1989]
B.assigned to an appropriately qualified person or persons* the following functions under the sections referred :
(i)stand-down or suspension of a student under section 14?
(ii)arranging for the student who has been excluded by the Sponsor to attend another suitable school under section 15(5)?, and
(iii)if unable to do so by the tenth school day after the exclusion in (ii), informing the Secretary of Education what steps the person took ? [section 15(6)]
(iv)taking all reasonable steps to ensure that a student who has been stood-down or suspended has guidance and counselling? [section 17A(1)]
(v)taking all reasonable steps to ensure that an appropriate educational programme is provided to a student whose suspension is subject to conditions? [section 17A(2)]
(vi)immediately informing the Secretary of Education and the parent of a student (under 20yrs) that the student has been stood-down/suspended/excluded or expelled and the reasons for the decision as appropriate under section 18?
(vii) excluding a student for health reasons under section 19?
(viii)Releasing a student from tuition on religious or cultural grounds under section 25A?
(ix)Releasing a student from tuition in specified parts of the health curriculum under section 25AA?
(x)Releasing a student from school to receive tuition outside the school or before the school closes in accordance with section 25B?
(xi)Exempting a student from attendance for a short period under section 27?
[Note:*Under section 158G(c) the sponsor is required to assign the above functions which are carried out by the ‘principal’ under the sections to an appropriately qualified person or persons.]
C.assigned the role of supervising teaching practice (or professional leader) to an appropriately qualified person? [section 158G(d) and clause 12.2 Partnership School Contract] and
D.ensured that the person appointed above has proven background in educational leadership? [clause 12.2 Partnership School Contract]
E.notified the Ministry of Education if it has appointed any person to the role of ‘Chief Executive’**of the school.[clause 12.1 Partnership School Contract]
[Note ** under clause 12.1 of the Contract, the Sponsor ‘may’ i.e. has a discretion to appoint the Chief Executive who does not have to be a registered teacher, but can be responsible for the day-to-day running of the school. If the ‘Chief Executive’ is the same person assigned the functions under paragraph B above, than he/she must be an appropriately qualified person]
2 / Does the sponsor maintain detailed records in accordance with prudent business practice and sufficient to enable the sponsor to complete its reporting obligations under the partnership school contract, the Education Act, and any other applicable laws?
[Clause 18.1(c) Partnership School Contract]
3 / Has the sponsor, at the intervals specified in the partnership school contract, informed the student’s parents of –
- the progress of the student at the school; and
- any barriers to the student’s progress; and
- the student’s progress and achievement in relation to National Standards, if applicable?
4 / Does the sponsor take all reasonable steps to ensure -
- that students who are required to attend the school do so whenever it is open; and
- in the case of a multiple time table arrangement, an affected student attends the school for the whole of the time period (or periods) each day during which the student’s time table is running ? [section 25 Ed Act 1989];
- that student absences are correctly recorded, monitored and followed up? [good practice]
- that the school hours and terms do not reduce below the minimum levels set out in Schedule 1 of the Partnership school contract [clause 8.1(a)(i) of the contract]; and
- that the students and parents of the students are notified in writing, and with reasonable advance notice, of the school hours and term dates and any changes to those hours and dates? [Clause 8.1(a)(ii) of contract]
5 / (i)Has the principal ensured that an enrolment record in the form and containing information as specified in section 77A(3) Education Act is kept for each student? [section 77A(1) Education Act]
(ii)Has the principal taken reasonable steps to send the enrolment record of a student to the principal of another school when the student moves to the other school? [Write N/A if situation has not arisen] (section 77A Education Act 1989 and MOE Circular 2013/21 and any amendments to MOE Circular)
(iii)Does the sponsor use -
- a student management system that is approved and notified by the Minister for use by the sponsor;
6 / Has the Sponsor completed and submitted the following reports to the Minister:
- Any report templates provided by the Minister for assessing the Sponsor’s performance against minimum requirements, objectives and performance standards?
- Quarterly Reports by 30 April, 31 July, and 31 October of each School year in relation to the previous three months of that School year?
- Annual Reports by 31 January of each year in respect of the previous School year?
- In relation to student achievement Performance Standard, reported on the student population as a whole, and in addition provided separate reporting on Māori, Pasifika, students with special needs and students from low socio-economic backgrounds [Clause 18.2(g) Partnership School Contract]?
7 / Has the sponsor reported to the Ministry of Education at least twice each year (including in the middle of the year and at the end of the year) on National Standards achieved by each student?; and
(i)the numbers and proportions of students at, above, below or well below the National Standards,
(ii)including by Māori, Pasifika, gender, and by Year level (where this does not breach an individual’s privacy);and
(iii)how students are progressing against National Standards as well as how they are achieving; and
(iv)reported the information under paragraphs (i) to (iii) in the format provided by the Secretary for Education?
[Clause 18.3 Partnership School Contract]
8 / Has the sponsor reported to the public (no later than 31 May each year) on the progress of the school in respect of the full data for the previous year against the minimum requirements, objectives, and performance standards set out in Schedule 6 of the Partnership School Contract, including the most recent audited financial statements? [Clause 18.4 Partnership School Contract]
9 / Has the sponsor provided the Secretary for Education with audited financial statements relating to the school for the prior financial year? [Clause 18.5 Partnership School Contract]
10 / Has the sponsor a policy document setting out how it will engage with parents, family, whānau, iwi and communities of the students approved by the Minister? and
Has the sponsor made this policy publicly available to parents, family, whānau, iwi, and communities of the students enrolled at the school? [Clause 10.6 Partnership School Contract].
11 / Does the sponsor ensure that all procedures and practices relating to the stand-down/suspension/exclusion and/or expulsion of any student are implemented in accordance with the relevant provisions of the Education Act, the Education Stand-down, Suspensions, Exclusions, and Expulsion Rules 1999 and Guidelines issued by the Ministry of Education? [Sections 158U and 158V Education Act 1989; Clause 8.3 Partnership School Contract].
12 / Does the sponsor comply with the requirements of clauses 11.1and 11.3 of the Partnership School Contract in relation to tuition fees and donations?
Explanation: briefly, under clause 11.1 the Sponsor acknowledges the right to free enrolment and education under section 3 of the Act, and will not charge a domestic student any tuition fee and will comply with any MOE Circular on tuition fee. Under clause 11.3, the Sponsor may seek a donation, but this must not affect the tuition received by the student if the parent/caregiver has not made a donation. Please refer to details in the Partnership School Contract.
Is there any further information you would like to provide in relation to Section 1 - Administration?
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What does ERO want to know?
ERO wants to know that the sponsor is meeting the curriculum requirements set out in the Partnership School Contract. Key questions relating to curriculum follow. (Note: the quality of curriculum delivery related to student achievement is considered by ERO during the review.)
Self-Audit Checklist
Section 2 - Curriculum
Has the sponsor:
Please put a tick to all questions including bullet points. If parts of these questions are not applicable to your school please write N/A / Yes / No/ Unsure / N/A
1 / Ensured that the Curriculum is, at a minimum, in line with the Foundation Curriculum Policy Statement as published by the Minister of Education by Gazette*notice under section 60A Education Act 1989 as follows:
- that is guided by the Vision;
- that is underpinned by the Principles;
- in which the Values as expressed are encouraged and modelled and are explored by students; and
- that supports students to develop the five Key Competenciesas expressed in The New Zealand Curriculum?
[Clause 9.1(b) Partnership School Contract]
2 / Ensured that the Curriculum is, at a minimum, in line with the Foundation Curriculum Policy Statement as published by the Minister of Education by Gazette*notice under section 60A Education Act 1989 as follows:
- that supports students to develop Te Āhua o ā Tātou Ākonga as expressed in Te Marautanga o Aotearoa;
- that is underpinned by Ngā Mātāpono Whānui as expressed in Te Marautanga o Aotearoa;
- in which Ngā Uara, Ngā Waiaro as expressed in Te Marautanga o Aotearoa are encouraged and modelled and are explored by students;
- that supports students to gain confidence in Te Reo Māori as expressed in Te Marautanga o Aotearoa
- that takes account of He Toi Mātauranga, He Mana Tangata as expressed in Te Te Marautanga o Aotearoa?
[Clause 9.1(b) Partnership School Contract]
3 / Developed and implemented teaching and learning strategies to address needs of students?
4 / Provided career education and guidance to students in Years 7 to 13 having regard to the MOE’s publication “Career Education and Guidance in NZ Schools”and Careers NZ’s publication “Career Education Benchmarks”, or any substitute publication notified by the Minister to the Sponsor?
[Clause 7.7 Partnership School Contract]
Is there any further information you would like to provide in relation to Section 2 - Curriculum?
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What does ERO want to know?
ERO wants to know that the sponsor is complying with the requirement to provide a safe physical and emotional environment for students as required under section 158G(a) of the Education Act 1989.
Self-Audit Checklist
Section 3 – Health, Safety and Welfare
1 / Has the sponsor prepared and provided to the Minister the School’s policies for ensuring a safe physical and emotional environment for students? and
Has this been approved by the Minister [as the Operative Document]?
[Clause 7.5(b) Partnership School Contract; section 158G Education Act 1989]
2 / Is the sponsor taking all reasonable steps to ensure that:
(a)In providing a safe physical and emotional environment for the students, it ensures that its students get good guidance and counselling; and
(b)where relevant for the Class levels being taught, and in any event forany students in Classes 7 and above, the students receive guidance and counselling about selecting courses of study that do not close off future educational choices and to that end are facilitating the student undertaking any courses of study that are not courses specifically offered by the Sponsor?
[Clause 7.6 Partnership School Contract]
3 / Does the sponsor have an appropriate internal disputes management policy to handle complaints from parents about matters affecting their children in school? and
Does the policy include an Independent Review Process which covers matters described in, and consistent with, the framework set out in Schedule 8 of the Partnership School Contract?
[Clause 10.5 Partnership School Contract; s 158D(3)(g) Education Act 1989 ]
Has the sponsor ensured that its health and safety policies, and procedures/guidelines/practices linked to the following have been implemented appropriately: / Yes / No / Unsure / N/A
4 / Guidance counselling? [clause 7.6 Partnership School Contract].
5 / Prohibiting the use of force? (corporal punishment) [s 139A Ed Act 1989].
6 / The Code of Practice for School Exempt Laboratories approved by the Environmental Risk Management Authority, about the use of hazardous substances for the teaching of science and technology?
[Refer: Guidance on the Code of Practice for School Exempt Laboratories]
The Code of Ethical Conduct for the use of Animals in research and teaching in schools? [refer to ]
7 / Prevention of sexual harassment? [ss 62, 68 Human Rights Act 1993; ss 108, 117, 118 Employment Relations Act 2000].
8 / Collection, storage, security, access and use of personal information?[Privacy Act 1993].
9 / The systematic identification and remedying of existing and potential hazards? [Health and Safety at Work legislation].
10 / Health and safety of anyone permitted to come on to school grounds:
- For ensuring their safety on school grounds?
- Management of hazards?
- Injury prevention in the playground and classrooms - First aid/notification of accidents, in particular, recording of all accidents as required by legislation?
11 / Plant and machinery safety? [Health and Safety at Work legislation].
12 / Development of an emergency plan, including emergency/evacuation procedures, notification, duty of care for students, testing procedures?[National Civil Defence Emergency Plan Order 2015; Good practice].
13 / School trips/education outside the classroom – risk management procedures? [Clause 10.1 Partnership School Contract- MOE,EOTC Guidelines].
14 / Policies, practices and procedures on surrender and retention of property and searches of students by the principal, teachers and authorised staff members under sections 139AAA to 139AAF of the Act:
(i) that comply with the *Rules regulating the practice and procedure made by the Secretary for Education under s.139AAH? and
(ii) have regard to the guidelines issued by the Secretary for Education under s.139AAI for the exercise of their powers and functions under sections 139AAA to 139AAH?
[Note: refer to for sections 139AAA to 139AAF of the Education Act 1989 and the *Education (Surrender, Retention, and Search) Rules 2013; for guidelines issued by the Secretary for Education]
15 / Does the sponsor have a child protection policy* that -
(a) is written down and in use?
(b) says how suspected neglect and abuse will be identified and reported?
(c) will be reviewed every three years?
(d) is available on the school’s website or on request?
[Reference sections 18 and 19 Vulnerable Children Act 2014. Refer to Part 6 of Vulnerable Children Act 2014 - a practical guide for assistance]
[*Note: the policy is a mandatory requirement from 1 July 2016].
Has the sponsor:
16 / Satisfied itself, through reports from hostel management, that the hostel provides a safe emotional and physical environment that supports the learning of boarders enrolled at the school? [Education (Hostels) Regulations 2005].
[Write N/A if not applicable]
17 / Ensured policies and procedures that relate to students who have special education needs are implemented without discrimination, i.e. they are:
- Objective, value diversity and are integrated within the school curriculum;
- Regularly re-evaluated and developed to enhance effectiveness;
- Well-communicated to all staff and families, whänau of students and consistently applied;
- In compliance with the Education Act 1989 (section 8) and the NZ Bill of Rights Act (section 19), the Human Rights Act 1993 (section 21).?
18 / Provided access and facilities for persons with disabilities to and within buildings? [ss 117-120 and Schedule 2 of Building Act 2004].
19 / Received assurance at intervals of not more than six months that a trial evacuation has occurred? [Fire Safety and Evacuation of Building Regulations 2006].
20 / As signatory to the Code of Practice for the Pastoral Care of International Students 2016, ensured that it is complying with the Code particularly in terms of:
Student welfare
- Support services for students
- Information on international students
- Communicating with parents for students under 18 years
- Students with additional needs
- Monitoring attendance to ensure student welfare
- Accommodation Provisions
- Homestays
- Boarding Establishments
- Designated caregivers
- Temporary accommodation
- Residential caregivers
- Police vetting of accommodation for students under 18
- Complaints procedures
Is there any further information you would like to provide in relation to Section 3 – Health, Safety and Welfare?