Compliance Management Framework: Annual Compliance Review - Procedures

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Compliance Management Framework: Annual Compliance Review - Procedures


Approval authority
Vice-Chancellor and President
Responsible officer
Chief Operating Officer
Designated officer
Chief Operating Officer
First approved
23 February 2016
Last amended
24 May 2018
Effective start date
24 May 2018
Review date
24 May 2023
Related documents
Audit and Assurance Framework - Governing Policy
Compliance Management Framework - Governing Policy
Critical Incident Management - Governing Policy
Enterprise Risk Management - Governing Policy
Fraud and Corruption Control - Governing Policy
Governance Framework - Governing Policy
Health, Safety and Wellbeing - Governing Policy
Related legislation / standards
University of the Sunshine Coast Act 1998
Financial and Performance Management Standard 2009 (Qld)
Financial Accountability Act 2009 (Qld)
Work Health and Safety Act 2011 (Qld)
Work Health and Safety Regulations 2011 (Qld)
AS ISO 196000:2015 Compliance management systems
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1. Definitions

Please refer to the University’s Glossary of Terms for policies and procedures.

2. Purpose of Procedures

The procedures that follow outline the University’s annual compliance reporting process and must be read in association with the Compliance Management Framework – Governing Policy and other related procedures.

The intent of this procedure is to:

  • provide a systematic process for the reviewing of compliance obligations to enable the University to effectively and efficiently manage compliance risks; and
  • enable the gathering of information to facilitate monitoring and reporting of compliance performance within the University.

3. Compliance reporting

3.1 The Chief Operating Officer will coordinate an annual compliance risk report for the Audit and Risk Management Committee.

3.2 Cost Centres will contribute to the annual compliance risk report via a report to the Chief Operating Officer which confirms that:

a. monitoring of compliance for each compliance obligation allocated is being effectively managed;

b. any moderate or higher rated risks relating to these obligations have been reported as they have arisen and been treated appropriately in accordance with the University's Risk Management Procedures;

c. any known risks faced by impending legislative requirements are being considered and actions are being taken to address them; and

d. the compliance obligations detailed in the Register of Compliance Obligations remain relevant to that Cost Centre (and details of any new obligation or redundant obligations are also provided).

3.3 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 Operating Officer, and that it identifies and requests follow-up action on any issues of concern.


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