Compliance Overview

Compliance Framework
Compliance Driver Annual Reports (Statutory Bodies) Act 1984 (NSW)
Classification Level 1
University-wide concern. Impacts on reputation and funding.
Associated Legislation
Associated Standards
Associated Codes
Associated Information
Return to Top Administrative Information
Administrative Body Minister for Education
Administrative Name
Administrative Address  
Administrative Phone  
Administrative Email  
Administrative Website  
Return to Top General Introduction
VC Compliance Delegate Brendan Peet, University Secretary
Compliance Coordinator Amy O'Toole, Executive Officer - Vice-Chancellor's Office
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Records Management Office
  • 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
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Marketing
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Overview The Annual Report of the proceedings of the University is required to be submitted annually to the N.S.W. Minister for Education for tabling to the N.S.W. Parliament. It consists of two main sections (1) Financial Reports, and (2) Narrative Reports.

The Council of the University is responsible for the preparation of the financial statements that give a true and fair view in accordance with Australian Accounting Standards, the Public Finance and Audit Act and the current Guidelines ('Financial Statement Guidelines for Australian Higher Education Providers for the 20xx Reporting Period), and for such internal control as the Council determines is necessary to enable the preparation of the financial statements that give a true and fair view and that are free from misstatement, whether due to fraud or error.

The Auditor will give an opinion as to whether the financial statements :
- give a true and fair view of the position of the University and the consolidated entity, and of the financial performance anh cash flows for the year then ended in accordance with Australian Accounting Standards.
- are in accordance with section 41B of the Public Finance and Audit Act 1983 and the Public Finance and Audit Regulation 2010.
- comply with the current Guidelines.

Compliance Obligations

Return to Top 1.Review/Report of Operations
Description Under section 7 (1) (a) (iv) of the Annual Report (Statutory Bodies) Act 1984 the Annual Report of the University must include a report of its operations in accordance with the Annual Reports (Statutory Bodies) Regulation 2015.
Impacts Negative impact on reputation.

Increased regulatory and government oversight.
Responsible Manager Amy O'Toole, Executive Officer - Vice-Chancellor's Office
Coordinating Officer Estelle Boshoff, Corporate Communications Officer
Coordinating Unit Office of the Vice-Chancellor and CEO
Oversight Committee/Group None
Business Units Impacted
  • Academic Quality Unit
  • Advancement, Communications, and Events Directorate
  • Animal Genetics and Breeding Unit
  • Audit and Risk Directorate
  • Australian Business Research Institute
  • Business Intelligence and Data Governance
  • Centre for Agriculture and Law
  • Centre for Applied Research in Social Science
  • Centre for Local Government
  • Corporate Communications Unit
  • Corporate Planning and Analytics
  • English Language Centre
  • Facilities Management Service Directorate
  • Faculty of Humanities, Arts, Social Sciences and Education
  • Faculty of Medicine and Health
  • Faculty of Science, Agriculture, Business and Law
  • Financial Performance and Analytical Services
  • Heritage Centre
  • Heritage Futures Research Centre
  • Human Resource Services Directorate
  • Information Technology Directorate
  • Institute for Rural Futures
  • Learning and Teaching Transformation
  • Legal Office
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • Office of the Chief Operating Officer
  • Office of the Deputy Vice-Chancellor (Research)
  • Office of the Pro Vice-Chancellor (Academic Innovation)
  • Office of the Pro Vice-Chancellor (External Relations)
  • Office of the Provost and Deputy Vice-Chancellor
  • Office of the Vice-Chancellor and CEO
  • Oorala Aboriginal Centre
  • Records Management Office
  • Records, Policy and Governance Unit
  • 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
  • Strategic Procurement
  • Student Grievance Unit
  • Student Success
  • The National Centre of Science, Information and Communication Technology, and Mathematics Education
  • UNE Business School
  • UNE Council
  • UNE Foundation charitable trust
  • UNE Foundation Limited
  • UNE International
  • UNE Life
  • UNE Marketing
  • UNE Medical Centre
  • UNE Partnerships Pty Ltd
  • UNE Residential System
  • UNE Sydney
  • University Library
  • University Secretariat
  • Yarm Gwanga
Obligation Framework
Associated Legislation
Associated Standard
Associated Code
Associated Information
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top 2. Financial Statements
Description Annual Reports (Statutory Bodies) Act 1984 - s7(1)(a) (i) -(iia)

TASKS
To include:
- Inclusion of Financial Statements
- Controlled Entities' Financial statements
- Audit Opinion on Financial Statements
- Response to significant issues raised by Auditor- General
Impacts
Responsible Manager Sandra Matthews, Deputy Chief Financial Officer
Coordinating Officer Natasha Holloway, Head Financial Services
Coordinating Unit Financial Performance and Analytical Services
Oversight Committee/Group None
Business Units Impacted
  • Australian Business Research Institute
  • Financial Performance and Analytical Services
  • Office of the Chief Financial Officer
  • Office of the Chief Legal and Governance Officer
  • UNE Life
Obligation Framework
Associated Legislation
Associated Standard
Associated Code None
Associated Information
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top 3. University Chancellors Council - Voluntary Code
Description Under Section 14 of the Voluntary Code of Best Practice for the Governance of Australian Universities, the 'University should disclose in its Annual Report its compliance with this Code of Best Practice and provide reasons for any areas of non-compliance."
Impacts
Responsible Manager Brendan Peet, University Secretary
Coordinating Officer Amy O'Toole, Executive Officer - Vice-Chancellor's Office
Coordinating Unit Office of the Chief Legal and Governance Officer
Oversight Committee/Group None
Business Units Impacted
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top 4.Form and size of annual reports
Description Under clause 16 of the Annual Reports (Statutory Bodies) Regulation 2015 the annual report must be effectively presented and arranged. This includes:

- Material information reported
- Logical sequence
- Appropriate layout
- Clear readable text
- Appropriate captions for charts, diagrams, or photos
- Index and table of contents to assist identifying reporting requirements
- ISO A4 size
Impacts
Responsible Manager Amy O'Toole, Executive Officer - Vice-Chancellor's Office
Coordinating Officer Estelle Boshoff, Corporate Communications Officer
Coordinating Unit Office of the Vice-Chancellor and CEO
Oversight Committee/Group None
Business Units Impacted
  • Office of the Chief Legal and Governance Officer
  • Office of the Vice-Chancellor and CEO
Obligation Framework
Associated Legislation
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top 6.Public availability of annual reports
Description Under section 12 of the Annual Reports (Statutory Bodies) Act 1984 and clause 16 of the Annual Reports (Statutory Bodies) Regulation 2015 the University must ensure a copy of the annual report is:
1. made publicly available on the University's internet site (or other relevant internet site) as soon as practicable after the hard copy report is presented to Parliament;
2. made available to Parliament in electronic form as soon as practicable after the hard copy is presented to Parliament (to be published on the Parliament's website);
and that sufficient copies of the annual report are made available to meet normal public demand.
Impacts
Responsible Manager Brendan Peet, University Secretary
Coordinating Officer Amy O'Toole, Executive Officer - Vice-Chancellor's Office
Coordinating Unit Office of the Vice-Chancellor and CEO
Oversight Committee/Group None
Business Units Impacted
  • Office of the Chief Legal and Governance Officer
  • University Secretariat
Obligation Framework
Associated Legislation
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top 6.Submission of annual report to Minister for Education and others
Description Under section 10 of the Annual Reports (Statutory Bodies) Act 1984 the annual report of the University is to be submitted to the Minister for Education not later than four months after year end. The Minister can decide whether the University submits its annual report in printed or electronic form. An electronic copy of annual report is to be submitted to the Treasurer at the same time it is submitted to the Minister for Education.

Impacts
Responsible Manager Brendan Peet, University Secretary
Coordinating Officer Amy O'Toole, Executive Officer - Vice-Chancellor's Office
Coordinating Unit Office of the Vice-Chancellor and CEO
Oversight Committee/Group None
Business Units Impacted
  • Office of the Chief Legal and Governance Officer
  • Office of the Vice-Chancellor and CEO
  • University Secretariat
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites
 
Return to Top 8.Presentation by Minister of annual report to Parliament
Description Under section 11 of the Annual Reports (Statutory Bodies) Act 1984 :
- The appropriate Minister must present a printed copy of the University's annual report to each House of Parliament. To permit that Minister to meet this requirement, the University must submit a minimum of two printed copies of its annual report to the Minister for Education.
- The Minister for Education must present that report within one month of receipt
- If late, a statement by Minister is required.
Impacts
Responsible Manager Brendan Peet, University Secretary
Coordinating Officer Amy O'Toole, Executive Officer - Vice-Chancellor's Office
Coordinating Unit Office of the Vice-Chancellor and CEO
Oversight Committee/Group None
Business Units Impacted
  • Office of the Chief Legal and Governance Officer
  • University Secretariat
Obligation Framework
Associated Legislation None
Associated Standard None
Associated Code None
Associated Information None
Management Tools
Rule None
Policy None
Protocol None
Procedure None
Guideline None
Other Websites