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What is a Compliance Framework?
The JCU compliance framework comprises a set of components that provide the foundations and organisational arrangements for designing, implementing, monitoring, reviewing and continually improving legislative compliance management throughout the organisation.
The Compliance Framework has three pillars:
Inform - ensuring staff are aware of their obligations and the legislative changes that may impact their business unit’s activities);
Comply - an annual compliance declaration by Deputy Vice Chancellors; and
Assure - internal and external audit and review activity providing a formal approach to continuous improvement.
The Framework consists of:
- Compliance Policy established to identify intent, scope and responsibilities and accountabilities within the University for compliance, which is reflective of the Code of Conduct;
- Supporting procedures, forms and registers that complement the Risk Management Framework and Plan, including the JCU Code of Conduct and Statement of Integrity that cover fraud prevention, managing conflicts of interest and breach reporting; and
- University’s Legislative Compliance Register, whereby Responsible Officers are designated to oversee their respective Division's compliance with applicable legislative obligations.
To assist Responsible Officers in discharging their requirements under the JCU Compliance Register and regulatory requirements more broadly, a Legislative Alert Service has been set up through a third party that specialises in providing tailored regulatory support services to organisations. Responsible Officers receive Alerts in accordance with their functional area of responsibility. Email notifications are received when proposed (or existing) legislation and/or regulatory requirements change.
Responsible Officers need to ensure applicable changes are communicated to employees in the impacted area and changes reflected in relevant procedures and practices.
Compliance management at JCU is aligned to the various components outlined in the compliance management system as depicted in the most current release of ISO19600.