Compliance Overview / University of New England

Compliance Overview

Compliance Framework
Compliance Driver	Children's Guardian Act 2019 (NSW)
Classification	Level 2 University-wide requirement. Lower impacts.
Associated Legislation	Child Protection (Working with Children) Act 2012 (NSW) Ombudsman Act 1974 (NSW)
Associated Standards	National Principles for Child Safe Organisations (Cth)
Associated Codes	None
Associated Information	Child Protection Code of Conduct UNE Working with Children and Young People

Return to Top 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/

Return to Top General Introduction
VC Compliance Delegate	Kus Pandey, Director Governance and University Secretary
Compliance Coordinator	Sarah Frost, Strategic Project Lead
Business Units Impacted	Accounting Advancement, Alumni and Events Ag360 Animal Genetics and Breeding Unit Australian Business Research Institute Business Intelligence and Analytics Campuses Centre for Agriculture and Law Centre for Applied Research in Social Science Centre for Local Government Collaborative Research Centres Computational Analytics Software Infomatics Corporate Communications and Events CRC for Beef Genetic Technologies Education Enterprise Education Quality Directorate Estate and Built Environment Faculty of Humanities, Arts, Social Sciences and Education Faculty of Medicine and Health Faculty of Science, Agriculture, Business and Law Heritage Futures Research Centre Institute for Rural Futures Internal Audit Legal Services Library Services Office of Strategy and Management Office of the Chief Financial Officer Office of the Chief Operating Officer Office of the Deputy Vice-Chancellor Office of the Deputy Vice-Chancellor (Research) Office of the Director Governance and University Secretary Office of the Pro Vice-Chancellor Indigenous Office of the Vice-Chancellor and CEO Oorala Aboriginal Centre People and Culture Procurement Records, Policy and Governance Unit Research Centres and Institutes Research Services Rural Properties School of Education School of Environmental and Rural Science School of Health School of Humanities, Arts and Social Sciences School of Law School of Psychology School of Rural Medicine School of Science and Technology SportUNE Student Grievance Unit Student Journey Technology and Digital Services The National Centre of Science, Information and Communication Technology, and Mathematics Education UNE Archives & Heritage Centre UNE Business School UNE Council UNE Foundation Limited UNE Foundation Trust UNE International UNE Life Healthcare Centre UNE Life Pty Ltd UNE Marketing UNE Partnerships Pty Ltd UNE Residential System University Secretariat Yarm Gwanga
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
Return to Top Comply with/respond to Children's Guardian
Description	Comply with/respond to Children's Guardian as required under various sections of the CG Act.
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	Accounting Advancement, Alumni and Events Ag360 Animal Genetics and Breeding Unit Australian Business Research Institute Business Intelligence and Analytics Campuses Centre for Agriculture and Law Centre for Applied Research in Social Science Centre for Local Government Collaborative Research Centres Computational Analytics Software Infomatics Corporate Communications and Events CRC for Beef Genetic Technologies Education Enterprise Education Quality Directorate Estate and Built Environment Faculty of Humanities, Arts, Social Sciences and Education Faculty of Medicine and Health Faculty of Science, Agriculture, Business and Law Heritage Futures Research Centre Institute for Rural Futures Internal Audit Legal Services Library Services Office of Strategy and Management Office of the Chief Financial Officer Office of the Chief Operating Officer Office of the Deputy Vice-Chancellor Office of the Deputy Vice-Chancellor (Research) Office of the Director Governance and University Secretary Office of the Pro Vice-Chancellor Indigenous Office of the Vice-Chancellor and CEO Oorala Aboriginal Centre People and Culture Procurement Records, Policy and Governance Unit Research Centres and Institutes Research Services Rural Properties School of Education School of Environmental and Rural Science School of Health School of Humanities, Arts and Social Sciences School of Law School of Psychology School of Rural Medicine School of Science and Technology SportUNE Student Grievance Unit Student Journey Technology and Digital Services The National Centre of Science, Information and Communication Technology, and Mathematics Education UNE Archives & Heritage Centre UNE Business School UNE Council UNE Foundation Limited UNE Foundation Trust UNE International UNE Life Healthcare Centre UNE Life Pty Ltd UNE Marketing UNE Partnerships Pty Ltd UNE Residential System University Secretariat Yarm Gwanga
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

Return to Top Investigate/determine reportable conduct allegation/conviction
Description	Confirm that reportable conduct allegations and convictions have been investigated/determined as required (CG Guardian Act Part 4 Divisions 4-6, ss 30-41), note especially reporting obligations to Children's Guardian and time frames in s 36. (Penalties may apply)
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 36 - Failure to provide report in manner required - 10 penalty units x 2 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	Legal Services
Obligation Framework
Associated Legislation	None
Associated Standard	None
Associated Code	None
Associated Information	None
Management Tools
Rule	Code of Conduct
Policy	Child Protection Policy
Protocol	None
Procedure	Child Protection Procedures
Guideline	None
Other Websites	Office of the Children's Guardian

Return to Top Systems, policies and processes implement Child Safe Standards (CG Act s 8D)
Description	UNE must implement the Child Safe Standards through systems, policies and processes - list given of examples in s 8D(1), includes e.g., a child safe policy. Section 8D(2) requires a reportable conduct policy that addresses the matters in section 54(2). The systems, policies and processes must be continually reviewed and updated to reflect a number of points listed in s 8D(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	Anne Hodson, Program Manager Safe Communities
Coordinating Officer	Kus Pandey, Deputy Director Governance and University Secretary
Coordinating Unit	People and Culture
Oversight Committee/Group	Audit and Risk Committee
Business Units Impacted	Academic Development Accounting Administration Services Advancement, Alumni and Events Ag360 Animal Genetics and Breeding Unit Australian Business Research Institute Brand Partnership and Business Development Business Intelligence and Analytics Business Services Campuses Careers & Employability Centre for Agriculture and Law Centre for Animal Research and Teaching Centre for Applied Research in Social Science Centre for Local Government Client Services Collaborative Research Centres Computational Analytics Software Infomatics Controlled Entities Corporate Communications and Events Cotton Catchment Communities CRC CRC for Beef Genetic Technologies CRC for Spatial Information Curriculum and Academic Management Data Services Digital Education DO NOT USE Office of the Chief Legal and Governance Officer DO NOT USE UNE Life Education Enterprise Education Futures Education Quality Directorate English Language Centre Enterprise Architecture Estate and Built Environment Examinations Office Faculty of Humanities, Arts, Social Sciences and Education Faculty of Medicine and Health Faculty of Science, Agriculture, Business and Law Finance Strategy and Business Intelligence Fleet & Logistics Services Future Students, Engagement and Technologies Graduate Research School Growing Regional and Agricultural Students in Science Heritage Futures Research Centre Information Security Infrastructure Services Institute for Rural Futures Integrated Services and Operational Intelligence Internal Audit LabNext70 Legal Services Library Services Office of Strategy and Management Office of the Chief Financial Officer Office of the Chief Operating Officer Office of the Deputy Vice-Chancellor Office of the Deputy Vice-Chancellor (Research) Office of the Director Governance and University Secretary Office of the Pro Vice-Chancellor (Academic Innovation) Office of the Pro Vice-Chancellor (External Relations) Office of the Pro Vice-Chancellor Indigenous Office of the Vice-Chancellor and CEO Oorala Aboriginal Centre Operational Reporting People and Culture Policies Team Poultry Hub Procurement Records Team Records, Policy and Governance Unit Research Centres and Institutes Research Services Rural Properties School of Education School of Environmental and Rural Science School of Health School of Humanities, Arts and Social Sciences School of Law School of Psychology School of Rural Medicine School of Science and Technology Sport UNE SportUNE Strategic Partnerships & Business Development Strategic Projects Group Student Grievance Unit Student Journey Student Pathways Student Services Technology and Digital Services The National Centre of Science, Information and Communication Technology, and Mathematics Education Treasury UNE Archives & Heritage Centre UNE Brand and Marketing UNE Business School UNE Council UNE Foundation Limited UNE Foundation Trust UNE International UNE Life Healthcare Centre UNE Life Pty Ltd UNE Marketing UNE Partnerships Pty Ltd UNE Professional Superannuation Fund Pty Ltd UNE Residential System University Secretariat Yarm Gwanga
Obligation Framework
Associated Legislation	Children's Guardian Act 2019 (NSW)
Associated Standard	None
Associated Code	None
Associated Information	None
Management Tools
Rule	Code of Conduct
Policy	Child Protection Policy
Protocol	None
Procedure	Child Protection Procedures
Guideline	None
Other Websites	Office of the Children's Guardian

Return to Top To notify VC and Children's Guardian of reportable allegations and convictions
Description	University Representatives must notify the VC & CEO as soon as they are aware of a reportable allegation or conviction (CG Act s 27). The VC must notify the Children's Guardian within 7 business days of becoming aware of such matters (CG Act s 29). [Penalties may apply]
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	Legal Services
Oversight Committee/Group	Audit and Risk Committee
Business Units Impacted	Academic Development Accounting Administration Services Advancement, Alumni and Events Ag360 Animal Genetics and Breeding Unit Australian Business Research Institute Brand Partnership and Business Development Business Intelligence and Analytics Business Services Campuses Careers & Employability Centre for Agriculture and Law Centre for Animal Research and Teaching Centre for Applied Research in Social Science Centre for Local Government Client Services Collaborative Research Centres Computational Analytics Software Infomatics Controlled Entities Corporate Communications and Events Cotton Catchment Communities CRC CRC for Beef Genetic Technologies CRC for Spatial Information Curriculum and Academic Management Data Services Digital Education DO NOT USE Office of the Chief Legal and Governance Officer DO NOT USE UNE Life Education Enterprise Education Futures Education Quality Directorate English Language Centre Enterprise Architecture Estate and Built Environment Examinations Office Faculty of Humanities, Arts, Social Sciences and Education Faculty of Medicine and Health Faculty of Science, Agriculture, Business and Law Finance Strategy and Business Intelligence Fleet & Logistics Services Future Students, Engagement and Technologies Graduate Research School Growing Regional and Agricultural Students in Science Heritage Futures Research Centre Information Security Infrastructure Services Institute for Rural Futures Integrated Services and Operational Intelligence Internal Audit LabNext70 Legal Services Library Services Office of Strategy and Management Office of the Chief Financial Officer Office of the Chief Operating Officer Office of the Deputy Vice-Chancellor Office of the Deputy Vice-Chancellor (Research) Office of the Director Governance and University Secretary Office of the Pro Vice-Chancellor (Academic Innovation) Office of the Pro Vice-Chancellor (External Relations) Office of the Pro Vice-Chancellor Indigenous Office of the Vice-Chancellor and CEO Oorala Aboriginal Centre Operational Reporting People and Culture Policies Team Poultry Hub Procurement Records Team Records, Policy and Governance Unit Research Centres and Institutes Research Services Rural Properties School of Education School of Environmental and Rural Science School of Health School of Humanities, Arts and Social Sciences School of Law School of Psychology School of Rural Medicine School of Science and Technology Sport UNE SportUNE Strategic Partnerships & Business Development Strategic Projects Group Student Grievance Unit Student Journey Student Pathways Student Services Technology and Digital Services The National Centre of Science, Information and Communication Technology, and Mathematics Education Treasury UNE Archives & Heritage Centre UNE Brand and Marketing UNE Business School UNE Council UNE Foundation Limited UNE Foundation Trust UNE International UNE Life Healthcare Centre UNE Life Pty Ltd UNE Marketing UNE Partnerships Pty Ltd UNE Professional Superannuation Fund Pty Ltd UNE Residential System University Secretariat Yarm Gwanga
Obligation Framework
Associated Legislation	Children's Guardian Act 2019 (NSW)
Associated Standard	None
Associated Code	None
Associated Information	None
Management Tools
Rule	None
Policy	Child Protection Policy
Protocol	None
Procedure	Child Protection Procedures
Guideline	None
Other Websites	Office of the Children's Guardian

Return to Top 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	Accounting Advancement, Alumni and Events Ag360 Animal Genetics and Breeding Unit Australian Business Research Institute Business Intelligence and Analytics Campuses Centre for Agriculture and Law Centre for Applied Research in Social Science Centre for Local Government Collaborative Research Centres Computational Analytics Software Infomatics Corporate Communications and Events CRC for Beef Genetic Technologies Education Enterprise Education Quality Directorate Estate and Built Environment Faculty of Humanities, Arts, Social Sciences and Education Faculty of Medicine and Health Faculty of Science, Agriculture, Business and Law Heritage Futures Research Centre Institute for Rural Futures Internal Audit Legal Services Library Services Office of Strategy and Management Office of the Chief Financial Officer Office of the Chief Operating Officer Office of the Deputy Vice-Chancellor Office of the Deputy Vice-Chancellor (Research) Office of the Director Governance and University Secretary Office of the Pro Vice-Chancellor Indigenous Office of the Vice-Chancellor and CEO Oorala Aboriginal Centre People and Culture Procurement Records, Policy and Governance Unit Research Centres and Institutes Research Services Rural Properties School of Education School of Environmental and Rural Science School of Health School of Humanities, Arts and Social Sciences School of Law School of Psychology School of Rural Medicine School of Science and Technology SportUNE Student Grievance Unit Student Journey Technology and Digital Services The National Centre of Science, Information and Communication Technology, and Mathematics Education UNE Archives & Heritage Centre UNE Business School UNE Council UNE Foundation Limited UNE Foundation Trust UNE International UNE Life Healthcare Centre UNE Life Pty Ltd UNE Marketing UNE Partnerships Pty Ltd UNE Residential System University Secretariat Yarm Gwanga
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 Obligations