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Compliance Management Policy

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Section 1 - Audience and Scope

(1) This policy applies to all staff and all areas of the University of Newcastle (UON) including any entities it may control from time to time.

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Section 2 - Executive Summary

(2) Effective compliance management supports UON's governance arrangements and provides a systematic, structured and timely approach to identify and manage compliance obligations.

(3) Timely compliance management provides assurance to the University Council, Risk Committee and Vice-Chancellor that regulatory responsibilities are identified, monitored and managed appropriately, with consideration given to Council's risk appetite and objectives.

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Section 3 - Purpose

(4) This policy sets out UON's commitment to compliance management and outlines key roles and responsibilities. The process for identifying, disseminating, monitoring and reporting on compliance management is outlined in the Compliance Management Framework, which should be read in conjunction with this policy.

(5) This Policy and the Compliance Management Framework have been prepared based on the International Standard which has been adopted by Standards Australia AS ISO 19600:2015 (Compliance Management Systems – Guidelines).

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Section 4 - Principles

(6) Compliance management is the identification and mitigation of regulatory risks within the defined risk appetite. Effective compliance management is both timely and continuous to support the management of risks in an evolving regulatory landscape and to ensure compliance obligations are considered in decision-making and management practices.

(7) UON will maintain a Compliance Management Framework to provide the University Council, Risk Committee, Vice-Chancellor and Executive Committee reasonable assurance that:

  1. strategic and corporate objectives are supported by an efficient and effective compliance framework;
  2. regulatory obligations are identified, assessed, effectively monitored and managed;
  3. the effectiveness of controls are maintained and improved, where necessary; and
  4. there is an adequate level of compliance with policies, standards, procedures and applicable laws, regulations and licences.

(8) Compliance management will be incorporated into academic, strategic and operational planning, processes and review at all levels across UON.

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Section 5 - Responsibilities

(9) The Council has delegated the monitoring of compliance to the Risk Committee supported by other standing Committees of Council, as relevant. The responsibilities of the Committees are contained in the Committee Charters.

(10) The Vice-Chancellor is responsible for:

  1. ensuring that a compliance management system is established, implemented and maintained in line with the Council's risk appetite and the Risk Management Framework
  2. maintaining the Compliance Management Framework and controls to manage UON's compliance obligations; and
  3. reporting to Council and the Risk Committee on whether compliance is being managed effectively.

(11) The Executive Committee provides advice to the Vice-Chancellor on matters of compliance management and provides leadership in portfolio areas.

(12) The Director, Assurance Services is responsible for facilitating the development, implementation, review and continuous improvement of the Compliance Management Framework.

(13) University leaders are responsible for the implementation of the Compliance Management Framework within their respective areas.

(14) All staff are responsible for identifying, communicating and responding to expected, emerging or changing compliance obligations to support UON’s compliance management.