Policy Legislative Alerts and Non-Compliance Reporting Procedure
Legislative Alerts and Non-Compliance Reporting Procedure
- Aboriginals and Torres Strait Islanders in Marine Science
- Courses
- Future Students
- Current Students
- Research and Teaching
- Partners and Community
- About JCU
- Reputation and Experience
- Celebrating 50 Years
- Academy
- Anthropological Laboratory for Tropical Audiovisual Research (ALTAR)
- Anton Breinl Research Centre
- Agriculture Technology and Adoption Centre
- Living on Campus
- Advanced Analytical Centre
- Applying to JCU
- Alumni
- AMHHEC
- JCU Aquaculture Solutions
- AusAsian Mental Health Research Group
- ARCSTA
- Area 61
- Association of Australian University Secretaries
- Australian/NZ Students
- Australian Lions Stinger Research
- Australian Tropical Herbarium
- Australian Quantum & Classical Transport Physics Group
- Boating and Diving
- JCU-CSIRO Partnership
- Employability Edge
- Career Ready Plan
- CASE
- Careers at JCU
- Careers and Employability
- Chancellery
- Centre for Tropical Bioinformatics and Molecular Biology
- CITBA
- CMT
- College of Business, Law and Governance
- College of Healthcare Sciences
- WHOCC for N&M Education and Research
- College of Medicine and Dentistry
- College of Science and Engineering
- CPHMVS
- Centre for Disaster Solutions
- CSTFA
- Cyber Security Hub
- Cyclone Testing Station
- The Centre for Disaster Studies
- Daintree Rainforest Observatory
- Discover Nature at JCU
- Research Division
- Services and Resources Division
- Education Division
- Economic Geology Research Centre
- Elite Athletes
- eResearch
- Environmental Research Complex [ERC]
- Estate
- Fletcherview
- Foundation for Australian Literary Studies
- Gender Equity Action and Research
- General Practice and Rural Medicine
- GetReady4Uni
- Give to JCU
- Governance
- Information for JCU Cairns Graduates
- Art of Academic Writing
- Art of Academic Editing
- Graduate Research School
- Graduation
- Indigenous Education and Research Centre
- Indigenous Engagement
- Indigenous Legal Needs Project
- Inherent Requirements
- IsoTropics Geochemistry Lab
- IT Services
- International Schools
- International Students
- Research and Innovation Services
- JCU Eduquarium
- JCU Events
- JCU Global Experience
- JCU Ideas Lab
- JCU Job Ready
- JCU Motorsports
- JCU Prizes
- JCU Sport
- JCU Turtle Health Research
- Language and Culture Research Centre
- CEE
- LearnJCU
- Library
- Mabo Decision: 30 years on
- MARF
- Marine Geophysics Laboratory
- New students
- Off-Campus Students
- Office of the Vice Chancellor and President
- Virtual Open Day
- Orpheus
- Outstanding Alumni
- Parents and Partners
- Pathways to university
- Planning for your future
- Placements
-
Policy
- Academic Governance
- Academic Management
- Engagement
-
Corporate Governance
- Academic Freedom and Freedom of Speech Policy
- Affiliation of a Residential College Policy
- Bullying, Discrimination, Harassment, and Sexual Misconduct Policy
- Business Continuity Policy
- Child Safety Policy
- Code of Conduct – University Council
- Compliance Policy
- Conduct of Council Elections Policy
- Conflicts of Interests Policy – University Council and its Committees
- Controlled and Non-Controlled Entities Policy
- Critical Incident Policy
- Data Governance Policy
- Distinguished Professor Policy
- Domestic and Family Violence Policy
- Emeritus Professor Policy
- Foreign Interference Policy
- General Practice Training Governance Policy
- Incident Management Policy
- Information Privacy Policy
- Legal Services Claims and Litigation Assistance Policy
- Organisational Structure Policy
- Records Management Policy
- Right to Information Policy
- Risk Management Policy
- Social Media Policy
- Staff Code of Conduct
- University Archives - Access
- University Seal Policy
- Visiting Speaker and Event Policy
- Policy Development and Review Policy
- Quality Enhancement Framework
- Reviews of Organisational Units and Thematic Areas - Policy and Procedures
-
Estate and Facility Management
- Advertising on Campus
- Alcohol Consumption on University Property
- Approval of Works to University Buildings and Site Infrastructure
- Authorised Use of University Facilities, Premises and/or Grounds for Non-core Purposes
- Environmental Policy
- High Voltage Access Policy
- Memorial Plaques
- Noise on University Sites
- Pets on Campus
- Real Estate Dealings Policy
- Security Policy
- Space Allocation and Management Policy
- Timetable and Class Registration Policy
- Tree Protection
- Vehicle Fleet Policy
- Weapons Policy
- Adaptive Workplace Policy
-
Financial Management
- Appendices
-
Assets (FMPM 200 - FMPM 399)
- FMPM 200 Overview - Assets & Cash Management
- FMPM 210 Cash
- FMPM 220 Policy - Bank Accounts
- FMPM 230 - Petty Cash Advances
- FMPM 300 Investments
- FMPM 320 Plant and Equipment
- Financial FMPM 322 - Acquisitions of Plant and Equipment
- FMPM 260 Other Advances
- FMPM 330 Non-Capital Assets
- FMPM 280 Official Stores
- FMPM 290 Prepayments
- FMPM 323 - Disposal of Property, Plant and Equipment Procedure
- FMPM 324 Stocktake
- FMPM 350 Intangible Assets
- FMPM 270-2 Accounts Receivable - Student Debtors - Penalties
- FMPM 240 Travel Advances (Students)
- FMPM 330 Non-Capital Assets
- FMPM 270-1 Accounts Receivable
- FMPM 250 - Policy Salary Advances
- Equity (FMPM 500 - FMPM 599)
- Expenses (FMPM 700 - FMPM799)
- Financial Management and Control (FMPM 800 - FMPM 899)
- Further Applications (FMPM 900 - FMPM 999)
- Introduction (FMPM 100 - FMPM 199)
- Liabilities (FMPM 400 - FMPM 499)
- Revenue (FMPM 600 - FMPM 699)
-
Human Resources
- Awards for Excellence Policy
- Bullying, Discrimination, Harassment, and Sexual Misconduct Policy
- Community and Indigenous Language Allowance
- Competency Pay for Tradespersons Policy
- Conflict of Interest Policy
- Early Retirement Policy
- Equal Employment Opportunity
- Honorary Appointments Policy
- Human Resources Policy Glossary
- Market Loading Policy
- Overpayment of Wages Policy
- Performance, Development and Recognition Policy
- Recruitment, Selection and Appointment Policy
- Relocation Assistance Policy
- Remote Working Policy
- Salary Packaging Program Policy
- Special Studies Program Policy
- Supported Wage System (SWS) Policy
- Digital Infrastructure
-
International and Admissions
- Attendance Monitoring Policy - English Language and Foundation Programs
- Enrolment Requirements for International Student Visa-Holders Policy
- Management of Off-Campus Operations, Ventures and Partnerships
- Transfer of International Student Visa Holders to Other Educational Institutions
- US Federal Student Aid-SAP & Return to Title IV Policy
- Admissions Policy
-
Learning and Teaching
- Blended Learning Policy
- Charter of Responsibilities for Academic Quality and Governance
- Coursework Academic Integrity Policy
- English Language and Numeracy Policy
- Graduate Attributes
- Graduate Certificate of Education (Academic Practice) Internal Sponsorship Policy
- Learning Teaching and Assessment Policy
- Policy Glossary
- Review of a Student’s Suitability to Continue a Course Involving Placement
- Student Digital Experience Policy
- Student Evaluation of Subjects and Teaching Policy
- Student Retention Policy
- Research Education
- Research Management
-
Student Matters
- Academic Progression Policy
- Administration of Commonwealth Scholarships Policy
- Attendance Monitoring Policy - English Language and Foundation Programs
- Award Finalisation and Graduation Policy
- Bullying, Discrimination, Harassment, and Sexual Misconduct Policy
- Copyright Policy and Procedure
- Coursework Enrolment Policy
- Coursework Scholarships, Grants and Prizes Policy
- Library Use Policy
- Student Code of Conduct
- Student Complaints Policy
- Student Disability Policy
- Student Fee Payments and Refunds Policy
- Student Review and Appeals Policy (effective from 01/01/2023)
- Student Special Circumstances Policy
- Transfer of International Student Visa Holders to Other Educational Institutions
- Student Results Policy
- Work Health and Safety
- Policy search
- PAHL
- Publications
- Professional Experience Placement
- Queensland Research Centre for Peripheral Vascular Disease
- Rapid Assessment Unit
- RDIM
- Researcher Development Portal
- Safety and Wellbeing
- Scholarships
- Contextual Science for Tropical Coastal Ecosystems
- Staff
- State of the Tropics
- Strategic Procurement
- Student Equity and Wellbeing
- Student profiles
- SWIRLnet
- TARL
- TESS
- TREAD
- TropEco for Staff and Students
- TQ Maths Hub
- TUDLab
- Unicare Centre and Unicampus Kids
- UAV
- VAVS Home
- Work Health and Safety
- WHOCC for Vector-borne & NTDs
- Media
- Copyright and Terms of Use
- Australian Institute of Tropical Health & Medicine
- Clinical Psychedelic Research Lab
Intent
This procedure outlines the process for managing legislative alerts as an integral part of the JCU Compliance Framework and its three pillars of Inform, Comply and Assure. This procedure will assist the University in meeting its legislative compliance obligations in line with JCU’s Risk Management Policy and Compliance Policy.
In conjunction with the Annual Compliance Declaration (ACD) process, a higher degree of assurance can be achieved regarding compliance status at the Divisional and University levels.
Scope
This procedure applies to staff at JCU with specific responsibilities for legislative compliance activity including the Compliance Obligation Owners and Responsible Officers (see definitions below). This procedure does not apply to JCU Singapore.
Definitions
Except as otherwise specified in this Procedure, the meaning of terms used are as per the Policy Glossary.
Code | A statement of recommended practice developed internally by the University or externally by another body (may be mandatory or voluntary). |
Compliance | Adhering to the requirements of laws, industry and organisational standards and codes, principles of good governance and accepted community and ethical standards. |
Compliance failure | An act or an omission whereby the University does not meet its compliance obligations, processes or behavioural obligations. |
Legal risk | 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. |
Obligation | A requirement specified by laws, regulations, codes or organisational standards. |
Compliance Obligation Owner | The position title/role within the University having a specific duty or task to manage a particular compliance obligation (registrations, licenses, permits, regulatory reporting, etc.). |
Responsible Officer | Responsible for providing guidance and support to all employees; monitoring legislation, regulations and codes for any changes or new statutory requirements; reporting non-compliance issues and ensuring legislative requirements are met within their Divisions. In some cases a Risk Champion is also a Responsible Officer. |
1. Responsibilities
1.1 As per the JCU Compliance Framework, the University Executive, Chief of Staff, Compliance Obligation Owners, and Responsible Officers have specific obligations in being informed of, and ensuring compliance with, various legislative obligations. This group which consists of Risk Champions, Directors, Deans, College Managers and Operations Managers.
1.2 The procedure also applies to the Chair and/or Secretary position within JCU Controlled Entities. Legal staff within the Legal and Assurance Office have access to the legislative alerts and these are distributed to Responsible Officers.
2. Compliance Obligation Registers (LexisNexis)
2.1 All references to Compliance Obligation Registers in this procedure refer specifically to LexisNexis, and does not include other regulatory or legislative compliance registers or processes.
2.2 Each Compliance Obligation Owner is assigned to a Compliance Obligation Register on LexisNexis. Compliance Obligation Registers are accessible via the Regulatory Compliance Portal. These are HTML-based and certain fields are editable. The intent is for the Compliance Obligation Owner to have access to the latest legislative updates, and to manage obligations through the compliance register that require action.
2.3 In order for the University to remain informed of its legislative compliance obligations, JCU subscribes to a series of compliance modules from LexisNexis (who specialise in providing regulatory and legislative compliance solutions). The compliance modules consist of a number of compliance obligations registers, developed and maintained in collaboration with legal subject matter experts. These legislative compliance modules are applicable to the Tertiary Education Sector and are in alignment with the specific legal environment within which JCU operates.
2.4 The Compliance Module Alert Map, maps the Compliance Obligation Owners to nominated compliance modules and associated module Legislative Alert notifications to be received. The Module Alert Map is maintained centrally by the Legal and Assurance Office and is subject to change.
2.5 The legislative compliance modules include:
Core Modules | Elective/Industry Modules |
Anti-Bribery & Corruption | Bio-security |
Competition & Consumer | Cyber Security |
Corporations | Facilities Management |
Employment | Intellectual Property |
Environment | Modern Slavery |
Privacy & Data Protection | Social Media |
Tax | Tertiary Education (Cth) |
Workplace Health & Safety | Electronic Transactions (New) |
2.6 Within each of these compliance modules are the corresponding compliance registers. Compliance Obligation Owners have been selected based on their role and function and have been assigned access to the Regulatory Compliance Portal. Compliance Obligation Owners will receive Legislative Alerts that an update to current legislation has or may occur and may have an impact on their area of responsibility.
2.7 Compliance Obligation Owners responsibilities will be to ensure they and their respective areas (Divisions, Departments, Directorates, Offices):
- are kept informed of all compliance matters,
- take required actions to ensure their respective areas remain compliant;
- to maintain the compliance registers (assign owners, manage risk of non-compliance, etc.); and
- to monitor and report on compliance.
2.8 The University is subject to a variety of obligations around regulatory reporting, incident notification, accreditation, registration or licensing. The legislative alerts process with LexisNexis is one element of the compliance framework JCU has in place to ensure compliance with regulatory and/or legislative bodies.
3. Legislative Alerts
3.1 The legislative alerts process relates to the Inform pillar within the Compliance Framework. The process flow diagram (Appendix 1) illustrates the linkages between the legislative alerts process, routine monitoring of compliance activities (including internal policy compliance and review) and the annual compliance declaration process.
3.2 In ensuring legislative compliance, the designated Compliance Obligation Owner needs to address the following:
- Assess relevance of alert to JCU activity
- Communicate and distribute relevant information
- Ensure records, policies and procedures are maintained/reviewed where applicable
- Monitor compliance (or delegate this to the appropriate level) in accordance with their role accountabilities
- Coordinate reporting (non-compliance and annual assurance processes)
3.3 To assist Compliance Obligation Owners, periodic alerts on updates to regulations and legislation will be sent by LexisNexis via email. The JCU Legal and Assurance Office also receive these alerts. Two types of email alerts are:
- FYI (For-Your-Information)
- Action Required
3.4 On receipt of the Legislative Alerts, Compliance Obligation Owners are to:
Step | Action for Alerts |
1. | Determine whether the Legislative Alert (FYI or Action Required) requires that JCU needs to be informed or whether it triggers a need to review any change in policy, process, procedure, or system. |
2. | If an action due to a Legislative Alert is required, the Compliance Obligation Owner can provide guidance to their departmental area and manage the Legislative Alert on the Regulatory Compliance Portal. If required, as an additional step, the Compliance Obligation Owner can also manage this as a risk in RiskWare. |
3. | Continue to monitor compliance within the Division/Business Unit by maintaining the Regulatory Compliance Portal. |
4 | The Risk and Compliance Officer will monitor the effectiveness of the Legislative Alerts and use of the Obligations Compliance Registers and provide guidance where required. |
4. Non-Compliance Incident Reporting
4.1 Responsible Officers/Compliance Obligation Owners are required to identify and maintain records of all non-compliance incidents (or potential breaches) within their area of responsibility. Formal reporting of non-compliance incidents and their management is to be made to the Chief of Staff as soon as the Responsible Officer/Compliance Obligation Owner becomes aware of the incident.
4.2 When a non-compliance is identified, Management must:
- investigate circumstances relating to the compliance breach;
- notify Responsible Officer/Compliance Obligation Owner of compliance breach; and
- ensure timely and adequate corrective actions are taken to reinstate compliance.
4.3 The internal non-compliance reporting process is detailed below:
Step | Action |
1. | Staff member and/or Responsible Officer/Compliance Obligation Owner identifies a non-compliance/s or potential non-compliance/s. |
2. | Responsible Officer/Compliance Obligation Owner to identify corrective actions for medium or high risk non-compliances and include those on the Internal Non-Compliance Report (NCR, Appendix 2) and submit to Chief of Staff for review. |
3. | Where a NCR has been notified, the Responsible Officer/Compliance Obligation Owner develops a Compliance Action Plan that may require consultation across the University given the areas impacted by the legislative compliance requirement. The Compliance Action Plan may also require endorsement by a management or governance committee of JCU, such as Academic Board or Vice Chancellor’s Advisory Committee (VCAC). |
4. | The Responsible Officer monitors implementation of the Compliance Action Plan, including any reporting requirements to JCU committees. |
5. | The Risk and Compliance Officer monitors effectiveness of the compliance reporting and corrective action process, through Riskware reporting. |
4.4 Further guidance on LexisNexis functionality can be found in the LexisNexis Regulatory Compliance User Guide (Appendix 3).
Related policy instruments
Risk and Compliance Intranet Site
Schedules/Appendices
Appendix 1 - Legislative Alerts and Non-Compliance Incident Report Process
Appendix 2 – Internal Non-Compliance Incident Report Template
Appendix 3 - LexisNexis Regulatory Compliance User Guide
Administration
NOTE: Printed copies of this procedure are uncontrolled, and currency can only be assured at the time of printing.
Approval Details
Policy Sponsor | Vice Chancellor |
Version no | 21-1 |
Date for next Major Review | 08/04/2026 |
Revision History
Version | Approval date | Implementation date | Details | Author |
21-1 | 08/04/2021 | 08/04/2021 | Procedure established to support implementation of the Compliance Policy | Risk and Compliance Officer |
Keywords | Compliance Framework, Compliance Obligation Owner, Compliance Policy, Legislation, Alerts, Register, Non-compliance, Responsible Officer, Risk Champion, Risk Management, Reporting |