(1) This Policy sets out the University’s approach to managing its compliance requirements. The University’s compliance framework is also intended to promote awareness and help engender a culture of compliance. (2) This Policy applies to: (3) Certain compliance-related matters are excluded from requirements set out in this Policy and should be dealt with according to the specific processes set out in the applicable University policy or legislation. These include: (4) The University is committed to the highest level of compliance with applicable legislation and regulations (compliance obligations) and the relevant standards and codes to which the University has committed to complying (‘compliance commitments) (e.g. the Australian Code for the Responsible Conduct of Research (2018)) (together referred to as the University’s compliance requirements). (5) The University identifies and assesses its compliance requirements using a risk-based approach that aligns with the University's Risk Appetite Statement set by the University Council. (6) The University aims to fulfill its compliance requirements by having: (7) Managing compliance requirements effectively helps the University to: (8) The University’s Compliance Management Framework consists of this Policy, as well as: (9) All individuals are expected to comply with the University’s compliance requirements and promptly report incidents/breaches in accordance with this Policy and procedure. (10) University leaders have additional responsibilities; in particular, University leaders must ensure that compliance management practices are implemented across all levels of the University in academic, strategic and operational planning, projects and processes from inception to conclusion. (11) The University will support staff, contractors, volunteers and Council members to understand their role in managing compliance obligations and reporting compliance incidents by providing training and information as appropriate. (12) Apart from the exclusions noted in Section 3 above, all actual or suspected breaches of the University’s compliance requirements must be reported to the University’s Compliance Manager as soon as practicable. The University’s Compliance Manager may determine the need for and adequacy of any internal investigation. (13) Failure to comply with the University’s compliance requirements and this Policy, may result in disciplinary action and/or referral to external regulatory bodies. (14) The University Council is responsible for the oversight of the University’s compliance management practices. Council sets the University’s Risk Appetite Statement, which presently states that the University has a low appetite for non-compliance with any compliance requirement. (15) The Corporate Governance, Risk, Internal Audit and Safety Committee (CGRIASC) is responsible, on behalf of the Council, for approving and overseeing the University’s Compliance Management Framework, including ensuring: (16) Academic Board is responsible for overseeing academic compliance requirements. This includes ensuring that the policies for which the Academic Board is the approving body, comply with all relevant compliance requirements. (17) In accordance with the University’s Code of Conduct, all (18) Contractors are similarly required to comply with applicable laws, regulations, standards, codes and University policies when delivering services to or on behalf of the University in accordance with contractual requirements and/o directions issued pursuant to University legislation. (19) All individuals within scope of this Policy must also: (20) It is the responsibility of each University Leader (e.g. Business Unit manager) to ensure that: (21) Responsible Officers are staff who have been assigned responsibility for a specific compliance requirement as part of the Compliance Management Framework. (22) The University Compliance Manager will make recommendations to the relevant SEG member to endorse the appointment of a Responsible Officer from within their portfolio for compliance requirements as appropriate. (23) The University Compliance Manager will report to SEG twice a year (every 6 months) on Responsible Officers who have been appointed based on a SEG members endorsement. The Senior Executive Group is ultimately responsible for approving or varying the appointment of Responsible Officers. (24) Responsible Officers are: (25) Responsible Officers are required to: (26) The Vice-Chancellor is responsible for ensuring an appropriate Compliance Management Framework is in place at the University, providing leadership and demonstrating commitment to the University's compliance management practices. (27) Each SEG member is accountable for effective compliance within their own portfolios. (28) SEG is responsible for approving: (29) The General Counsel & Director of Assurance is responsible for providing legal advice on matters relating to legislative compliance obligations (including University legislation). (30) The Compliance Manager and broader Assurance Group is responsible for the establishment and ongoing review and management of the University’s Compliance Management Framework, which includes: (31) As soon as reasonably practicable after becoming aware of an actual or potential compliance breach (i.e. a compliance incident), individuals within scope of this Policy are required to inform their line manager (in the case of staff), as well as University’s Compliance Manager. The initial report of the compliance incident can be made verbally or in writing via email to compliance@latrobe.edu.au. (32) Compliance incidents must be reported promptly in order to ensure that any mandatory reporting timeframes to external regulators can be met. Where a compliance incident involves a Priority 1 or Priority 2 compliance requirement, it should be reported to the Compliance Manager within 24 hours of the person becoming aware of the matter. (33) An Incident Notification Form may need to be completed to assist with the assessment, investigation and reporting processes. (34) The Compliance Manager/Compliance Team will provide advice to individuals and relevant Responsible Officers regarding the assessment, containment and investigation of the incident with a view to identifying the cause and implementing rectification/mitigation measures to limit the risk of a further incident. (35) Depending on the seriousness of the potential breach and steps already taken to contain and/or investigate the incident, the Compliance Manager may require an investigation to be undertaken either by the Responsible Officer, a member of the Assurance Group or an independent, external party. (36) University Leaders and Responsible Officers are responsible for the rectification of all incidents and ensuring mitigation measures are implemented in a timely manner. (37) Where an incident is subject to an external mandatory reporting requirement, it must be reported to the relevant regulatory body within required time frame by the relevant Responsible Officer or designated individual prescribed in Policy or the relevant compliance requirement. (38) A copy of any correspondence/notice received from a government agency or regulator in relation to the University’s compliance requirements (e.g. a letter of concern, notification of an investigation, review or site visit, review outcomes/findings, letters of warning/enforcement, infringements etc) should be forwarded to Legal Services via legal.services@latrobe.edu.au in addition to: (39) For the purpose of this Policy: (40) This Policy is made under the La Trobe University Act 2009. (41) Associated information includes:Compliance Management Policy
Section 1 - Key Information
Top of Page
Policy Type and Approval Body
Administrative – Vice-Chancellor
Accountable Executive – Policy
Chief Operating Officer
Responsible Manager – Policy
General Counsel & Director of Assurance
Review Date
29 November 2027
Section 2 - Purpose
Section 3 - Scope
Top of PageSection 4 - Key Decisions
Top of Page
Key decisions
Role
Approve the appointment of Responsible Officers (ROs)
Senior Executive Group (SEG)
Determine the requirement for/adequacy of a compliance incident investigation
University Compliance Manager
Section 5 - Policy Statement
General
Section 6 - Procedures
Part A - Governance
University Council and Corporate Governance
Academic Board
Part B - Roles and Responsibilities
Individuals
University Leaders
Responsible Officers
Senior Executives
Assurance Group
Part C - Compliance Incident Reporting
Part D - Reporting Correspondence/Notices from Government Agencies or External Regulators
Top of PageSection 7 - Definitions
Top of PageSection 8 - Authority and Associated Information
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