Compliance Framework
Compliance Driver
Children's Guardian Act 2019 (NSW)
Classification
Level 2
University-wide requirement. Lower impacts.
Associated Legislation
Associated Standards
Associated Codes
None
Associated Information
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Administrative Information
Administrative Body
Office of the Children's Guardian
Administrative Name
Janet Schorer, The Children's Guardian
Administrative Address
Mailing Address
Office of the Children's Guardian
Locked Bag 5100
Stawberry Hills NSW
Australia, 2012
Administrative Phone
02 8219 3800
Administrative Email
reportableconduct@kidsguardian.nsw.gov.au
Administrative Website
http://www.kidsguardian.nsw.gov.au/
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General Introduction
VC Compliance Delegate
Radha Thomas, Director Governance and University Secretary
Compliance Coordinator
Anthea White, Director People and Culture
Business Units Impacted
Overview
The scheme monitors how certain organisations ('relevant entities') investigate and report on types of conduct ('reportable allegations' or 'reportable convictions') made against their employees, volunteers or certain contractors who provide services to children. The scheme will also cover religious bodies, in response to recommendations of the Royal Commission into Institutional Responses to Child Sexual Abuse.
When the head of a 'relevant entity' becomes aware of a reportable allegation or a reportable conviction, the head of that entity must notify the Office of the Children's Guardian within seven business days and conduct an investigation into the allegations. If the final entity report is not ready to submit within 30 calendar days, the head must provide an interim report with information about the progress of the investigation and an expected timeframe for completion.
The main object of this Act is to protect children by providing for the role and functions of the Office of the Children's Guardian, including -
(a) promoting the quality of organisations and persons providing services to children; and
(b) regulating those organisations and persons in providing those services.
The safety, welfare and wellbeing of children, including protecting children from child abuse, is the paramount consideration in decision-making under this Act and the regulations and in the operation of this Act and the regulations generally.
UNE is a 'relevant entity' and should have procedures relating to child protection, should ensure processes for reporting incidents are well known, must respond to any incidents or allegations via notice to the Children's Guardian and then an interim or full report within relevant timeframes, and must cooperate with requests or recommendations from the Children's Guardian.Compliance Obligations
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To conduct an investigation and prepare report within 30 days
Description
To conduct an investigation including communications with the subject of allegation or conviction and preparation of interim (if required, with reasons why report is interim) or final entity report to Children's Guardian within 30 days [Penalties may apply}
[Part 4, Division 5, Clause 34 (1)-(3)}
Impacts
Breach Impact Financial:
Section 29 - Failure to notify the Children’s Guardian of certain reports within 7 business days - 10 penalty units
Section 30 - Failure to provide information or documents when required by the Children’s Guardian - 50 penalty units
Section 57 - Improper disclosure of information by a person specified under the Act - 50 penalty units
Section 152 - Protection of complainant against retribution - 50 penalty points
Section 152F - A child safe organisation that receives a compliance notice must comply with the notice. Maximum penalty for not complying - for a corporation - 250 penalty units, or (b) otherwise - 50 penalty units.
Section 152J - Its an offence to not comply with an enforceable undertaking. Maximum penalty - for a corporation - 500 penalty units, or (b) otherwise - 100 penalty units.
Section 159 - Offences about use and disclosure of information - Maximum penalty for not complying - 10 penalty units or imprisonment for a period not exceeding 12 months, or both.
Breach Impact Non-Financial:
Regulatory Investigations: The Children’s Guardian may investigate the organisation’s compliance with the Child Safe Standards.
Enforcement Actions: compliance notices; enforceable undertakings; or in severe cases, revoking accreditation.
Executive Liability: Yes - Under section 164 an executive liability offence is an offence against any of the following provisions of this Act that is committed by a corporation:
section 92(1)
section 92(2)
section 97(2)
section 106
section 152F
section 152J
section 159(1)
section 161(1)
section 162(1)
section 180(2)
Schedule 2, clause 15(1)
Schedule 2, clause 16(1).
Criminal Penalty/Offence: Yes.
Responsible Manager
Katrina Warden, Director Legal Services
Coordinating Officer
Katrina Warden, Director Legal Services
Coordinating Unit
Legal Services
Oversight Committee/Group
Audit and Risk Committee
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
Child Protection Policy
Protocol
None
Procedure
None
Guideline
None
Other Websites
Office of the Children's Guardian
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To maintain procedures for the notification and investigation of reportable allegations or convictions
Description
The procedures need to consider:
- the guidelines regarding what information is to be included in a notification to the Children's Guardian;
- the determination by the Vice-Chancellor and CEO as to whether a conviction is reportable and/or when an allegation should be investigated (considering if there are any exemptions that apply, eg in regulations or by direction from the Children's Guardian;
- responding to requests and involvement from the Children's Guardian (including disclosure/information sharing [Part 4, Division 11]).
Impacts
Breach Impact Financial:
Section 29 - Failure to notify the Children’s Guardian of certain reports within 7 business days - 10 penalty units
Section 30 - Failure to provide information or documents when required by the Children’s Guardian - 50 penalty units
Section 57 - Improper disclosure of information by a person specified under the Act - 50 penalty units
Section 152 - Protection of complainant against retribution - 50 penalty points
Section 152F - A child safe organisation that receives a compliance notice must comply with the notice. Maximum penalty for not complying - for a corporation - 250 penalty units, or (b) otherwise - 50 penalty units.
Section 152J - Its an offence to not comply with an enforceable undertaking. Maximum penalty - for a corporation - 500 penalty units, or (b) otherwise - 100 penalty units.
Section 159 - Offences about use and disclosure of information - Maximum penalty for not complying - 10 penalty units or imprisonment for a period not exceeding 12 months, or both.
Breach Impact Non-Financial:
Regulatory Investigations: The Children’s Guardian may investigate the organisation’s compliance with the Child Safe Standards.
Enforcement Actions: compliance notices; enforceable undertakings; or in severe cases, revoking accreditation.
Executive Liability: Yes - Under section 164 an executive liability offence is an offence against any of the following provisions of this Act that is committed by a corporation:
section 92(1)
section 92(2)
section 97(2)
section 106
section 152F
section 152J
section 159(1)
section 161(1)
section 162(1)
section 180(2)
Schedule 2, clause 15(1)
Schedule 2, clause 16(1).
Criminal Penalty/Offence: Yes.
Responsible Manager
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Officer
Radha Thomas, Head Records Policy and Governance
Coordinating Unit
People and Culture
Oversight Committee/Group
Audit and Risk Committee
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
Child Protection Policy
Protocol
None
Procedure
None
Guideline
None
Other Websites
Office of the Children's Guardian
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To notify reportable allegation or conviction
Description
- University Representatives must notify the VC & CEO as soon as they are aware of a matter.
- The VC must notify the Children's Guardian within 7 business days of becoming aware of a matter [Penalties may apply]
[Part 4, Division 3, Clause 27 (1)-(3)]
Impacts
Breach Impact Financial:
Section 29 - Failure to notify the Children’s Guardian of certain reports within 7 business days - 10 penalty units
Section 30 - Failure to provide information or documents when required by the Children’s Guardian - 50 penalty units
Section 57 - Improper disclosure of information by a person specified under the Act - 50 penalty units
Section 152 - Protection of complainant against retribution - 50 penalty points
Section 152F - A child safe organisation that receives a compliance notice must comply with the notice. Maximum penalty for not complying - for a corporation - 250 penalty units, or (b) otherwise - 50 penalty units.
Section 152J - Its an offence to not comply with an enforceable undertaking. Maximum penalty - for a corporation - 500 penalty units, or (b) otherwise - 100 penalty units.
Section 159 - Offences about use and disclosure of information - Maximum penalty for not complying - 10 penalty units or imprisonment for a period not exceeding 12 months, or both.
Breach Impact Non-Financial:
Regulatory Investigations: The Children’s Guardian may investigate the organisation’s compliance with the Child Safe Standards.
Enforcement Actions: compliance notices; enforceable undertakings; or in severe cases, revoking accreditation.
Executive Liability: Yes - Under section 164 an executive liability offence is an offence against any of the following provisions of this Act that is committed by a corporation:
section 92(1)
section 92(2)
section 97(2)
section 106
section 152F
section 152J
section 159(1)
section 161(1)
section 162(1)
section 180(2)
Schedule 2, clause 15(1)
Schedule 2, clause 16(1).
Criminal Penalty/Offence: Yes.
Responsible Manager
Katrina Warden, Director Legal Services
Coordinating Officer
Galia Urquhart, OIC and Nominated Supervisor (Yarm Gwanga)
Coordinating Unit
UNE Residential System
Oversight Committee/Group
Audit and Risk Committee
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
Child Protection Policy
Protocol
None
Procedure
None
Guideline
None
Other Websites
Office of the Children's Guardian
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To respond to any determinations or recommendations by the Children's Guardian
Description
The Children's Guardian may make a determination or recommendation following a report from UNE. UNE must respond to those determinations or recommendations [Part 4, Division 9, Clause 50]
Impacts
Breach Impact Financial:
Section 29 - Failure to notify the Children’s Guardian of certain reports within 7 business days - 10 penalty units
Section 30 - Failure to provide information or documents when required by the Children’s Guardian - 50 penalty units
Section 57 - Improper disclosure of information by a person specified under the Act - 50 penalty units
Section 152 - Protection of complainant against retribution - 50 penalty points
Section 152F - A child safe organisation that receives a compliance notice must comply with the notice. Maximum penalty for not complying - for a corporation - 250 penalty units, or (b) otherwise - 50 penalty units.
Section 152J - Its an offence to not comply with an enforceable undertaking. Maximum penalty - for a corporation - 500 penalty units, or (b) otherwise - 100 penalty units.
Section 159 - Offences about use and disclosure of information - Maximum penalty for not complying - 10 penalty units or imprisonment for a period not exceeding 12 months, or both.
Breach Impact Non-Financial:
Regulatory Investigations: The Children’s Guardian may investigate the organisation’s compliance with the Child Safe Standards.
Enforcement Actions: compliance notices; enforceable undertakings; or in severe cases, revoking accreditation.
Executive Liability: Yes - Under section 164 an executive liability offence is an offence against any of the following provisions of this Act that is committed by a corporation:
section 92(1)
section 92(2)
section 97(2)
section 106
section 152F
section 152J
section 159(1)
section 161(1)
section 162(1)
section 180(2)
Schedule 2, clause 15(1)
Schedule 2, clause 16(1).
Criminal Penalty/Offence: Yes.
Responsible Manager
Katrina Warden, Director Legal Services
Coordinating Officer
Katrina Warden, Director Legal Services
Coordinating Unit
Legal Services
Oversight Committee/Group
Audit and Risk Committee
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
Child Protection Policy
Protocol
None
Procedure
None
Guideline
None
Other Websites
Office of the Children's Guardian
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To respond to any information requests or investigation involvement from the Children's Guardian
Description
The Children's Guardian may request involvement in an investigation or conduct the investigation. UNE is to accommodate requests for information and any level of involvement of the Children's Guardian in investigations [Part 4, Division 8]
Impacts
Breach Impact Financial:
Section 29 - Failure to notify the Children’s Guardian of certain reports within 7 business days - 10 penalty units
Section 30 - Failure to provide information or documents when required by the Children’s Guardian - 50 penalty units
Section 57 - Improper disclosure of information by a person specified under the Act - 50 penalty units
Section 152 - Protection of complainant against retribution - 50 penalty points
Section 152F - A child safe organisation that receives a compliance notice must comply with the notice. Maximum penalty for not complying - for a corporation - 250 penalty units, or (b) otherwise - 50 penalty units.
Section 152J - Its an offence to not comply with an enforceable undertaking. Maximum penalty - for a corporation - 500 penalty units, or (b) otherwise - 100 penalty units.
Section 159 - Offences about use and disclosure of information - Maximum penalty for not complying - 10 penalty units or imprisonment for a period not exceeding 12 months, or both.
Breach Impact Non-Financial:
Regulatory Investigations: The Children’s Guardian may investigate the organisation’s compliance with the Child Safe Standards.
Enforcement Actions: compliance notices; enforceable undertakings; or in severe cases, revoking accreditation.
Executive Liability: Yes - Under section 164 an executive liability offence is an offence against any of the following provisions of this Act that is committed by a corporation:
section 92(1)
section 92(2)
section 97(2)
section 106
section 152F
section 152J
section 159(1)
section 161(1)
section 162(1)
section 180(2)
Schedule 2, clause 15(1)
Schedule 2, clause 16(1).
Criminal Penalty/Offence: Yes.
Responsible Manager
Katrina Warden, Director Legal Services
Coordinating Officer
Katrina Warden, Director Legal Services
Coordinating Unit
Legal Services
Oversight Committee/Group
Audit and Risk Committee
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
Child Protection Policy
Protocol
None
Procedure
None
Guideline
None
Other Websites
Office of the Children's Guardian
Compliance Overview