Compliance Framework
Compliance Driver
University of New England Act 1993 (NSW) (NSW)
Classification
Level 1
University-wide concern. Impacts on reputation and funding.
Associated Legislation
Associated Standards
None
Associated Codes
Associated Information
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Administrative Information
Administrative Body
NSW Minister for Education
Administrative Name
Administrative Address
Administrative Phone
Administrative Email
Administrative Website
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General Introduction
VC Compliance Delegate
Susannah Warrick, Director Governance and University Secretary
Compliance Coordinator
Susannah Warrick, Director Governance and University Secretary
Business Units Impacted
Overview
An Act with respect to the constitution and functions of the University of New England. The Act sets out the object and functions of the University for the promotion of scholarship, research, free inquiry, the interaction of research and teaching, and academic excellence. The Act deals with procedural matters including constitution and membership of the University Council, Convocation and the Academic Board. The roles of the Chancellor, Deputy Chancellor and Vice-Chancellor are defined within the Act. Further, the Act defines the functions of the Council and the duties of Council members. University by-laws and rules may be made, varied and repealed by the University Council.
Compliance Obligations
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Academic Board
Description
Under s15 the University must have an Academic Board, consisting of:
1. the Vice-Chancellor, and
2. other persons as determined by Council.
Part 5 of the By-laws prescribe the constitution and functions of the Academic Board. The primary purpose of the Academic Board is to report to the Council and advise the Council and the Vice-Chancellor on all developments and initiatives relating and affecting the University's teaching and research activities and its educational programs.
Impacts
1. Ineffective oversight of quality of teaching and research activities and educational programs.
2. Negative impact on reputation.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Commercial Activities - Register
Description
Under s21C the Council is to maintain a Register of University commercial activities.
Impacts
Unable to meet reporting obligations in a timely manner.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
Commercial Activities Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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Commercial Activities - guidelines
Description
Under s21B the Council must:
1. determine and maintain Guidelines for Commercial activities, and
2. ensure the Guidelines are complied with.
Impacts
Unable to engage in commercial activities
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
Authority Retained by Council Rule
Commercial Activities Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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Controlled Entities
Description
Controlled entities must not exercise any function or engage in any activity that the University is not authorised to exercise or engage in.
S16A
Impacts
1. Breach can be reported to NSW Parliament.
2. Maybe required to cease activity.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
Commercial Activities Rule
Controlled Entity Rule and Guidelines
Policy
None
Procedure
None
Guideline
None
Other Websites
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Council Delegations
Description
Council must ensure any of its functions delegated to a member or Committee of the Council are carried out in accordance with the resolution and the Act and By-law.
s17
Impacts
Ineffective oversight of University decisions.
Breach of statutory duties of Council members.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
Authority Retained by Council Rule
Policy
Power and Authority of the Chancellor and/or the Deputy Chancellor Policy
UNE Council Charter
Procedure
None
Guideline
None
Other Websites
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Duties of Council Members - best interests
Description
Duty to act in the best interests of the University
Schedule 2A
s21F
Impacts
Under s21G the Council may remove a member from office.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Ethics for University of New England Council
Policy
None
Procedure
None
Guideline
None
Other Websites
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Duties of Council Members - care & diligence
Description
Duty to exercise care and diligence
Schedule 2A
s21F
Impacts
Under s21G the Council may remove a member from office.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Ethics for University of New England Council
Policy
None
Procedure
None
Guideline
None
Other Websites
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Duties of Council Members - material interests
Description
Duty to disclose material interests
Schedule 2A
s21F
Impacts
Under s21G the Council may remove a member from office.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Ethics for University of New England Council
Policy
None
Procedure
None
Guideline
None
Other Websites
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Duties of Council Members - no improper information use
Description
Duty not to improperly use information
Schedule 2A
s21F
Impacts
Under s21G the Council may remove a member from office.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Ethics for University of New England Council
Policy
None
Procedure
None
Guideline
None
Other Websites
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Duties of Council Members - no improper use
Description
Duty not to improperly use position
Schedule 2A
s21F
Impacts
Under s21G the Council may remove a member from office.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Ethics for University of New England Council
Policy
None
Procedure
None
Guideline
None
Other Websites
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Duties of Council members
Description
Council Members duties are carried in accordance with Part 4A and Schedule 2A
Impacts
Under s21G the Council may remove a member from office.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Code of Ethics for University of New England Council
Policy
Code of Conduct
Power and Authority of the Chancellor and/or the Deputy Chancellor Policy
UNE Council Charter
Procedure
None
Guideline
None
Other Websites
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Grievance & Appeals
Description
Under s16(1B)(i) the Council is to ensure that the University's grievance procedures, and information in relation to rights of appeal or review, are published in a form that is readily accessible to the public.
Impacts
Negative impact on reputation.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
Academic Assessment Appeals Policy
Conflicts of Interest Policy
Gifts and Benefits Policy
Student (Related) Grievance Handling Policy
Procedure
Assessment Appeals Policy
Conflicts of Interest Procedures
Gifts and Benefits Procedures
Student (Related) Grievance Handling Procedures
Guideline
None
Other Websites
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Investment Activities
Description
The investing of funds belonging to or vested in the University is a function of the Council, to be carried out in accordance with Schedule 2 of the Act and the Council approved Financial Management Rule. Investments must be selected that will protect the nominal value capital over the term of the investment.
Impacts
Loss of nominal value of capital
Responsible Manager
Meg McKechnie, Chief Financial Officer
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
Authority Retained by Council Rule
Financial Delegations Rule
Financial Management Rule
Terms of Reference (Council approved) - Finance and Infrastructure Committee
Policy
None
Procedure
None
Guideline
None
Other Websites
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No religious test or political discrimination
Description
Under s24 no person should be denied admission as a student of the University or be ineligible to hold office in, to graduate from or to enjoy any benefit of the University by reason of discrimination on the grounds of religious or political belief.
Impacts
Negative impact on reputation.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Property
Description
Under s18 (2A) except with the approval of the Minister, the Council must not alienate, mortgage, charge or demise any lands acquired by the University from the State at nominal or less than market value.
Impacts
Negative attention from regulatory bodies.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
Authority Retained by Council Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
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Reporting - Ombudsman or Auditor General
Description
Under s17B the annual report of the University must include a report as to any action taken by the Council to implement any recommendation made in a report of the Ombudsman or the Auditor-General concerning the University or its Council.
Impacts
Additional regulatory oversight.
Negative impact on reputation.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Peta MacDougall, Director Corporate Communications and Events
Coordinating Unit
Office of the Vice-Chancellor and CEO
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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University Seal
Description
s27 of the Act stipulates that the Seal of the University should be used only under the direction and resolution of the Council.
Affixing the Seal to a document indicates that the document is formal, or in the case of a deed, creates legally binding relations.
Impacts
Misuse of the Seal may impact negatively on the reputation of the University.
Responsible Manager
Susannah Warrick, Director Governance and University Secretary
Coordinating Officer
Susannah Warrick, Director Governance and University Secretary
Coordinating Unit
University Secretariat
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
University Seal and Signing Documents Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
Compliance Overview