Compliance Framework - Institutional Operating Policy
Responsible officer: Chief Financial Officer
Designated officer: Chief Financial Officer
Approving authority: Vice-Chancellor
Approval: 31 July 2008
Last amended: N/A
Effective starting date: 1 August 2008
Policy number: O5.
Related policies:
Due date for next review: 31 July 2013
Part A: Preliminary
1. Purpose of policy
The following policy is intended to promote good corporate governance and compliance practices at the University.
2. Application of policy
This policy applies to all staff, students and members of University decision-making or advisory bodies.
3. Definitions
In this policy the following definitions apply:
Compliance means adhering to the requirements of laws, industry and organisational standards and codes, principles of good governance.
Compliance Framework means a series of activities that when combined are intended to achieve compliance.
Part B: Policy
4. Underlying principles
4.1 The following principles underpin this policy:
(a) compliance with both external and internal requirements and standards is fundamental to effective and accountable governance and management of the University;
(b) compliance with both external and internal requirements and standards ensures that the University is fair and consistent in its treatment of students, staff, agents of the University and the public;
(c) the University is committed to ensuring that it complies with all international, national and state legislation, accountability frameworks, regulations, codes of practice, standards and similar that are applicable to the University and its activities;
(d) all employees, students and agents of the University, by virtue of accepting employment, enrolment or other formal association within the University, agree to comply with rules, policies, codes, procedures and similar standards of the University and with international, national and state legislation, accountability frameworks, regulations, codes of practice, standards and similar that are applicable to their activities within, for or behalf of the University;
(e) all employees, students and agents of the University are conversant with the external and internal requirements and standards applicable to their activities within, for or on behalf of the University, and with the consequences of failure to comply with those requirements and standards;
(f) employees, students and agents of the University are provided with the necessary information and assistance to promote compliance;
(g) the University assigns responsibilities for managing compliance;
(h) the University systematically assesses the extent to which there is compliance; and
(i) the University undertakes its best endeavours to rectify any non-compliance.
5. Compliance Framework
5.1 The University will establish a Compliance Framework, overviewed by the Audit and Risk Management Committee, that comprises:
(a) the appointment or designation of at least one person within each Cost Centre responsible for compliance reporting, unless otherwise recorded in the Compliance register, this person will be the Cost Centre Manager;
(b) creation of a University Register of Compliance Obligations that identifies and records the key compliance requirements for and within the University and assigns relevant responsibilities.
(c) Cost Centre Managers are primarily responsible for the management of compliance obligations which affect their area of responsibility, this includes workplace health and safety and equity obligations.
6. Register of Compliance Obligations
6.1 The Chief Financial Officer is responsible for maintaining a Register of Compliance Obligations.
6.2 The Register of Compliance Obligations will be updated as an ongoing activity.
6.3 Cost Centre Managers are responsible for the currency of Compliance Obligations recorded in this register against their Cost Centre.
6.4 Cost Centre Managers should convey to the Chief Financial Officer advice of any new obligations or changes to existing ones.
7. Compliance reporting
7.1 The Chief Financial Officer will coordinate an annual compliance risk report for the Audit and Risk Management Committee.
7.2 Cost Centres will contribute to the annual compliance risk report via a report that summarises the following:
(a) monitoring of compliance with each obligation allocated to the Cost Centre, and how this is achieved;
(b) risk rate each obligation on an annual basis in accordance with the University’s Risk management procedures; and
(c) demonstrate that any risk treatments identified for each obligation and the remedial action taken to address them, including any ongoing non-compliance issues.
7.3 The Audit and Risk Management Committee is responsible for ensuring that it receives an annual report and any ad hoc reporting on compliance as required from the Chief Financial Officer, and that it identifies and requests follow-up action on any issues of concern.
8. Accountabilities and responsibilities
8.1 The Audit and Risk Management Committee of Council is responsible to Council for overviewing and reporting to Council on the effectiveness of the University’s Compliance Framework.
8.2 The Vice-Chancellor is accountable to Council for compliance across the whole of the University.
8.3 The Chief Financial Officer is responsible, and accountable to the Vice-Chancellor, for development and operationalisation of the Compliance Framework across the University. (Reporting on non-compliance incidents and their management is done on an annual basis).
8.4 The Chief Financial Officer will maintain a Register of Compliance Obligations to be published on the University’s portal.
8.5 Cost Centre Managers are responsible, and accountable to the Chief Financial Officer for:
(a) liaising with all relevant University personnel in compliance matters, in particular where there is a centralised approach to compliance management, training and education, such as Copyright, Records Management, Freedom of Information; and
(b) advising on the compliance requirements relevant to their compliance areas, and for compliance reporting.
(c) undertaking, and reporting on, compliance monitoring within the relevant Cost Centre;
(d) assisting with the organisation and co-ordination of risk assessments, internal audits, and compliance reviews that involve their Cost Centre; and
(e) identifying and arranging for the provision of appropriate training that may be needed to improve or ensure compliance within their Cost Centre.
8.6 Cost Centre Managers, depending on their lines of reporting, are responsible, and accountable to the Vice-Chancellor or the Deputy Vice-Chancellor or the Pro Vice-Chancellor, for compliance within their Cost Centre.
8.7 Each employee of the University community, through their supervisor, is responsible, and accountable to the relevant Cost Centre Manager, for compliance as it pertains to the employee’s work, Cost Centre or area of operation.
8.8 Students and other members of the University community are responsible for compliance as it pertains to their roles within or for the University.
9. Complaints handling
9.1 A number of processes are established for handling of complaints relating to compliance or breaches of laws and regulations, and these are dealt with at the operational management level, and covered in various University Policies, such as:
(a) University Health and Safety Policy
(b) Discrimination and Harassment – Governing Policy
(c) Equity - Governing Policy
(d) Fraud and Corruption Control Policy
(e) Financial Management Practices Policy
10. Records management
10.1 Effective systems will be in place for record-keeping and records management in relation to compliance.
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Appendix One – University of the Sunshine Coast – Compliance Obligations
1.1 Office of the VC
1.1.1 Vice-Chancellor
- Commission for Children and Young People and Child Guardian Act 2000
- Copyright Act 1968
- Crime and Misconduct Act 2001
- Judicial Review Act 1991
- Public Sector Ethics Act 1994
- Trade Practices Act 1974
- University of the Sunshine Coast Act 1998
- Whistleblowers Protection Act 1994
1.1.2 Director, Capital Programs and Operations
- Building Act 1975
- Building and Construction Industry (Portable Long Service Leave) Act 1991
- Child Protection Act 1999
- Copyright Act 1968
- Dangerous Goods Safety Management Act 2001
- Disability Discrimination Act 1992
- Electrical Safety Act 2002
- Electricity Act 1994
- Environmental Protection Act 1994
- Fire and Rescue Service Act 1990
- Food Act 2006
- Health Insurance Act 1973
- Integrated Planning Act 1997
- Land Act 1994
- Land Title Act 1994
- Liquor Act 1992
- Medical Practitioners Registration Act 2001
- Motor Accident Insurance Act 1994
- Nursing Act 1992
- Queensland Heritage Act 1992
- Security Providers Act 1993
- Tobacco and Other Smoking Products Act 1998
- Trade Practices Act 1974
- Transport Operations (Road Use Management) Act 1995
- University of the Sunshine Coast Act 1998
- Workplace Health and Safety Act 1995
1.1.3 Director, Human Resources, Events and Catering and Sport
- Age Discrimination Act 2004
- Anti-Discrimination Act 1991
- Child Protection Act 1999
- Copyright Act 1968
- Disability Discrimination Act 1992
- Equal Opportunity for Women in the Workplace Act 1999
- Food Act 2006
- Food Production (Safety) Act 2000
- Human Rights and Equal Opportunity Commission Act 1986
- Liquor Act 1992
- Racial Discrimination Act 1975
- Sex Discrimination Act 1984
- Fair Trading Act 1989
- Migration Act 1958
- Products Act 1998
- Superannuation Guarantee (Administration) Act 1992
- Superannuation Guarantee Charge Act 1992
- Tobacco and Other Smoking Products Act 1998
- Trade Practices Act 1974
- UniSuper Trust Deed
- Workers Compensation and Rehabilitation Act 2003
- Workplace Relations Act 1996
1.1.4 Director, Regional Engagement
- Anti-Discrimination Act 1991
- Copyright Act 1968
- Trade Practices Act 1974
- University of the Sunshine Coast Act 1998
1.1.5 Executive Officer, Foundation
- Collections Act 1966
- Copyright Act 1968
- University of the Sunshine Coast Act 1998
- Trade Practices Act 1974
1.1.6 Chief Financial Officer
- A New Tax System (Australian Business Number) Act 1999
- A New Tax System (Goods and Services Tax) Act 1999
- Copyright Act 1968
- Customs Act 1901
- Electronic Transactions (Qld) Act 2001
- Financial Administration and Audit Act 1977
- Fringe Benefits Tax Assessment Act 1986
- Income Tax Assessment Act 1997
- Payroll Tax Act 1971
- Public Trustee Act 1978
- State Purchasing Policy
- Statutory Bodies Financial Arrangements Act 1982
- Superannuation Guarantee (Administration) Act 1992
- Superannuation Guarantee Charge Act 1992
- Trade Practices Act 1974
- UniSuper Trust Deed
- Workers Compensation and Rehabilitation Act 2003
1.2 Office of the DVC
1.2.1 Deputy Vice-Chancellor
- Commission for Children and Young People and Child Guardian Act 2000
- Copyright Act 1968
- Crime and Misconduct Act 2001
- Judicial Review Act 1991
- Public Sector Ethics Act 1994
- Trade Practices Act 1974
- University of the Sunshine Coast Act 1998
- Whistleblowers Protection Act 1994
1.2.2 Director, Information Services
- Copyright Act 1968
- Electronic Transactions (Qld) Act 2001
- Fair Trading Act 1989
- Freedom of Information Act 1992
- Information Standard 18 Information Security
- Information Standard 42 Information Privacy
- Judicial Review Act 1991
- Libraries Act 1988
- Public Records Act 2002
- Trade Practices Act 1974
1.2.3 Director, Student Administration
- Census and Statistics Act 1905
- Copyright Act 1968
- Education (Overseas Students) Act 1996
- Education Services for Overseas Students Act 2000
- Fair Trading Act 1989
- Higher Education Support Act 2003
- Migration Act 1958
- Privacy Act 1988
- Social Security (Administration) Act 1999
- Trade Practices Act 1974
1.2.4 Director, Student Services
- Age Discrimination Act 2004
- Anti-Discrimination Act 1991
- Copyright Act 1968
- Disability Discrimination Act 1992
- Education Services for Overseas Students Act 2000
- Equal Opportunity for Women in the Workplace Act 1999
- Human Rights and Equal Opportunity Commission Act 1986
- Indigenous Education (Targeted Assistance) Act 2000
- Racial Discrimination Act 1975
- Sex Discrimination Act 1984
- Trade Practices Act 1974
1.2.5 Director, Teaching and Research Services
- Business Names Act 1962
- Copyright Act 1968
- Corporations Act 2001
- Designs Act 2003
- Patents Act 1990
- Trade Marks Act 1995
- Trade Practices Act 1974
1.2.6 Director, Information Technology Services
- Broadcasting Services Act 1992
- Copyright Act 1968
- Disability Discrimination Act 1992
- Information Standard 2 ICT Resources Strategic Planning
- Information Standard 18 Information Security
- Information Standard 26 Internet
- Information Standard 32 Information and Communication Technology Cabling
- Information Standard 34 Metadata
- Information Standard 38 Use of ICT Facilities and Devices
- Privacy Act 1988
- Radiocommunications Act 1992
- Spam Act 2003
- Telecommunications Act 1997
- Trade Practices Act 1974
1.3 Deans
1.3.1 Dean, Faculty of Business
- Copyright Act 1968
- Education Services for Overseas Students Act 2000
- Professional Engineers Act 2002
- Trade Practices Act 1974
1.3.2 Dean, Faculty of Arts and Social Science
- Copyright Act 1968
- Education Services for Overseas Students Act 2000
- Psychologists Registration Act 2001
- Trade Practices Act 1974
1.3.3 Dean, Faculty of Science, Health and Education
- Animal Care and Protection Act 2001
- Australian Code of Practice for the Care and Use of Animals for Scientific Purposes
- Child Protection Act 1999
- Copyright Act 1968
- Dangerous Goods Safety Management Act 2001
- Education (Queensland College of Teachers) Act 2005
- Education Services for Overseas Students Act 2000
- Environmental Protection Act 1994
- Environmental Protection and Biodiversity Act 1999
- Fisheries Act (1994)
- Gene Technology Act 2000 (Cwlth)
- Gene Technology Act 2001 (Qld)
- Guardianship and Administration Act 2000
- Health Act 1937
- Health Insurance Act 1973
- Maritime Safety Queensland Act (2002)
- Marine Parks Act (2004)
- Medical Radiation Technologists Registration Act 2001
- National Statement on Ethical Conduct in Human Research 2007
- Native Title Act (1993)
- Nature Conservation Act (1992)
- Nursing Act 1992
- Optometrists Registration Act 2001
- Podiatrists Registration Act 2001
- Quarantine Act 1908
- Radiation Safety Act 1999
- Therapeutic Goods Act 1989
- Trade Practices Act 1974
- Transport Operations (Marine Safety) Act (1994)
- Transport Operations (Marine Pollution) Act (1995)
1.4 OFFICE OF THE PVC
1.4.1 Pro-Vice-Chancellor
- Copyright Act 1968
- Education Services for Overseas Students Act 2000
- Migration Act 1958
- Public Sector Ethics Act 1994
- Trade Practices Act 1974
- University of the Sunshine Coast Act 1998
- Whistleblowers Protection Act 1994
1.4.2 Director, Marketing and Communication
- Copyright Act 1968
- Defamation Act 2005
- Disability Discrimination Act 1992
- Fair Trading Act 1989
- Financial Administration and Audit Act 1977
- Libraries Act 1988
- Privacy Act 1988
- Spam Act 2003
- Trade Marks Act 2005
- Trade Practices Act 1974
1.4.3 Director, Strategic Information and Analysis Unit
- Census and Statistics Act 1905
- Copyright Act 1968
- Higher Education Support Act 2003
- Social Security (Administration) Act 1999
- Trade Practices Act 1974
1.4.4 USC International
- Copyright Act 1968
- Education Services for Overseas Students Act 2000
- Migration Act 1958
- Trade Practices Act 1974
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