Employees are to promote and play their role in ensuring that JCU meets all its obligations under applicable laws, regulations, codes of practice and other corporate compliance documents adopted by the Council or University Executive. This Policy is underpinned by and to be read in conjunction with the James Cook University Compliance Framework and Code of Conduct.
This policy applies to all staff and officers of the University and its wholly owned subsidiaries, members of the University Council and other University Committees. Every director, manager, officer, contractor and agent of JCU has a responsibility to uphold the University’s values and to actively participate in improving standards of compliance.
A statement of recommended practice developed internally by the University or externally by another body (may be mandatory or voluntary).
Adhering to the requirements of laws, industry and organisational standards and codes, principles of good governance and accepted community and ethical standards.
An act or an omission whereby the University does not meet its compliance obligations, processes or behavioural obligations.
The potential for financial loss or reputational damage if the University fails to be aware of and implement legislative or regulatory requirements that could impact operations, results in a breach of compliance, or through action or inaction gives rise to potential litigation against the organisation, its staff or students.
A requirement specified by laws, regulations, codes or organisational standards.
Employees appointed as being responsible for compliance with particular legislation.
1.1 The University is committed to ensuring that it complies with all applicable laws and regulations, and that it strives to meet the requirements of those standards and codes of practice that apply to its day-to-day activities and responsibilities. The establishment of the JCU Compliance Framework is underpinned by integrity and high ethical standards and provides a comprehensive, integrated and effective compliance program that is consistent with AS ISO 19600:2015 Compliance management systems (based on AS3806:2006 Compliance Programs) and generally accepted compliance management practice.
2.1 The University’s Compliance Framework:
3.1 JCU’s compliance framework is a set of components that provides the foundations and organisational arrangements for designing, implementing, monitoring, reviewing and continually improving legislative compliance management throughout the organisation.
3.2 The Compliance Framework has three pillars:
The Framework outlines a formal approach to continuous improvement. The ongoing performance of the Framework will be monitored and reviewed. The monitor and review mechanisms are:
3.3 The framework will enable:
4.1 Council. Council is ultimately responsible for approving the Compliance Policy.
4.2 Audit Committee. The Audit Committee is responsible for:
4.3 Vice Chancellor. The Vice Chancellor is responsible for leading a compliance culture across the University through promoting and supporting the Compliance Policy and Framework.
4.4 University Executive. The University Executive are responsible for ensuring that appropriate resources, systems and processes are in place to implement the Compliance Framework across the organisation, compliance with legislative and regulatory requirements within their specific areas of operational responsibility, and ensuring that any potential or actual legislative non-compliances are identified and appropriately managed.
4.5 Chief of Staff. The Chief of Staff has overall responsibility for the control and coordination of the Compliance Framework and for coordinating the implementation of the compliance process across the University.
4.6 Responsible Officers. Responsible Officers will work closely with the Chief of Staff and will have responsibility for: providing guidance and support to all employees; monitoring legislation, regulations and codes for any changes or new statutory requirements; reporting non-compliance issues, whether systemic, recurring or one-off; and ensuring that legislative requirements are met within their Divisions.
4.7 Managers and Staff. Managers must demonstrate their commitment to compliance by making themselves fully aware of the University’s legal and other obligations within their area of accountability or span of control. All staff are responsible for adherence to the compliance obligations relevant to their position; performing their duties in a lawful and safe manner; undertaking training in accordance with the compliance program; and reporting and escalating compliance concerns, issues, complaints and failures.
NOTE: Printed copies of this policy are uncontrolled, and currency can only be assured at the time of printing.
Date for next Major Review:
NOTE: A minor amendment will not result in a change of the next major review date.
[Approval date - the date the approval authority approved the establishment, minor or major amendment or disestablishment]
[Implementation Date - the date the policy was published in the Policy Library and is the date the policy takes effect]
Chief of Staff
Chief of Staff
Compliance, standards of compliance, compliance framework