Compliance Policy - University of New England

University of New England
Compliance Policy
Document type:
Policy
Administering entity:
Audit and Risk Directorate
TRIM Reference: D09/85794
Date approved: 24 th August 2012
Approved by:
Council
Indicative time for review:
2 years from approval date
Responsibility for review:
Audit and Risk Directorate
Related policies or other documents: Australian Standard AS3806-2006
Compliance programs
Risk Management Policy and Procedures
Compliance Management Framework and
Procedures
Code of Conduct
Rationale and Scope
The purpose of this policy is to:
demonstrate UNE’s commitment to effective compliance that permeates the whole
of the University,
provide a uniform approach to ensure compliance with all laws, regulations,
industry requirements and internal policies and procedures, that impact on the
day-to-day activities of the University,
to promote a culture of compliance, and
address the key strategic risk of legal and legislative environment as it applies to
the University’s business objectives.
This policy applies to:
All UNE staff, students, controlled entities, University associates, and any person
participating in University business or activities, whether as a visitor, adjunct
appointee, service provider or contractor.
All the University’s campuses and education centres.
Principles
Australian Standard AS 3806-2006 provides principles for the development,
implementation and maintenance of effective compliance programs. These principles
are:
1. Commitment by the governing body and top management to effective compliance
that permeates the whole organisation.
2. The compliance policy is aligned to the organisation’s strategy and business
objectives, and is endorsed by the governing body.
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3. Appropriate resources are allocated to develop, implement, maintain and improve
the compliance program.
4. The objectives and strategy of the compliance program are endorsed by the
governing body and top management.
5. Compliance obligations are identified and assessed.
6. Responsibility for compliant outcomes is clearly articulated and assigned.
7. Competence and training needs are identified and addressed to enable employees
to fulfil their compliance obligations.
8. Behaviours that create and support compliance are encouraged and behaviours
that compromise compliance are not tolerated.
9. Controls are in place to manage the identified compliance obligations and achieve
desired behaviours.
10. Performance of the compliance program is monitored, measured and reported.
11. The organisation is able to demonstrate its compliance program through both
documentation and practice.
12. The compliance program is regularly reviewed and continually improved
Policy
All staff, students and associates are responsible for behaving in a manner that
creates and supports compliance, and ensuring their activities on behalf of the
University comply will all applicable laws, regulations and University policies.
All employees of the University have a responsibility to undertake their duties in
accordance with the Compliance Management Framework and Procedures.
The UNE Council is accountable for approving the compliance management
framework, maintaining an effective management capability, and ensuring all
compliance risks associated with the University is objectives are effectively
managed.
The Vice-Chancellor is responsible for ensuring there is an effective compliance
management framework and operating procedures in place; and is accountable for
the regular review of the adequacy and performance of the framework in
managing compliance, and reporting of any significant compliance breaches.
Executive Management is responsible for the effective management of, and
compliance with, all applicable regulatory and business compliance requirements
of the University, including ensuring all breaches are managed and reported
appropriately.
Managers have a duty to uphold and monitor compliance within their areas of
responsibility, and to ensure that staff who report to them receive necessary
training and instructions to enable them to fulfil their compliance obligations.
The Vice-Chancellor, as chief executive officer, is responsible for ensuring
appropriate resources are allocated to develop, implement, maintain and improve
the compliance program.
Where necessary, the University will issue its own policies and procedures to raise
awareness of, and give effect to, legal requirements that are binding on the
University.
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The controls and compliance processes the University puts in place will be
proportionate to the level of risk that the University faces in relations to a
particular piece of legislation.
Any breach of the University’s legislative obligations may result in legal action
against the University. A breach by a member of staff may also result in
disciplinary action in accordance with the provisions set out in the relevant
enterprise agreement or employment contract.
Procedures
Compliance procedures are set out in the Compliance Management Framework
and Procedures.
Academic compliance requirements are set out in the Academic Board Policies
and Procedures.
Approval signature
Chancellor
ANNEXURES: (not subject to approval above)
Compliance Policy