Compliance Overview

Compliance Framework
Compliance Driver Australian Charities and Not-for- Profits Commission Act 2012 (Cth)
Classification Level 2
University-wide requirement. Lower impacts.
Associated Legislation
Associated Standards
Associated Codes None
Associated Information None
Return to Top Administrative Information
Administrative Body Australian Charities and Not-for-profits Commission
Administrative Name Advice Services
Administrative Address Mailing Address
GPO Box 5108
Melbourne
VIC
Australia, 3001
Administrative Phone 13 22 62
Administrative Email advice@acnc.gov.au
Administrative Website http://www.acnc.gov.au/
Return to Top General Introduction
VC Compliance Delegate Ilias Dimopoulos, Head of Finance
Compliance Coordinator Ilias Dimopoulos, Head of Finance
Business Units Impacted
  • Finance
  • Office of the Chief Financial Officer
  • Office of the Chief Operating Officer
  • Office of the Director Governance and University Secretary
  • Office of the Vice-Chancellor and CEO
  • Strategic Procurement
  • UNE Council
  • UNE Foundation Limited
  • UNE Foundation Trust
  • UNE Life
Overview This Act sets out the objects and functions of the ACNC, as well as the framework for the registration and regulation of charities.

Compliance Obligations

Return to Top Governance Standard 1: Purposes and not-for-profit nature
Description A charity must be not-for profit and work towards its charitable purpose. It must be able to demonstrate this and provide information about its purposes to the public.

UNE can generally meet this standard if a copy of UNE's governing documents contain clauses about its charitable purpose and they appear on the ACNC Register.
Impacts
Responsible Manager Susannah Warrick, Director Governance and University Secretary
Coordinating Officer Susannah Warrick, Director Governance and University Secretary
Coordinating Unit Office of the Director Governance and University Secretary
Oversight Committee/Group None
Business Units Impacted
  • Finance
  • Office of the Chief Financial Officer
  • Office of the Chief Operating Officer
  • Office of the Director Governance and University Secretary
  • Office of the Vice-Chancellor and CEO
  • Strategic Procurement
  • UNE Council
  • UNE Foundation Limited
  • UNE Foundation Trust
  • UNE Life
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
 
Return to Top Governance Standard 4: Suitability of Responsible Persons
Description UNE must take reasonable steps to:
• be satisfied that its Responsible Persons (such as board or committee members or trustees) are not disqualified from managing a corporation under the Corporations Act 2001 (Cth) or disqualified from being a Responsible Person of a registered charity by the ACNC Commissioner, and
• remove any Responsible Person who does not meet these requirements.

This standard requires UNE to take reasonable steps to be satisfied that its Responsible Persons (its board or committee members, or trustees) are not disqualified from:
• managing a corporation under the Corporations Act 2001 (Cth) (the Corporations Act), or
• being a Responsible Person by the ACNC Commissioner, within the previous 12 months.

If UNE is not satisfied, it must not appoint this person. If the person is already appointed, the charity must take reasonable steps to remove them as a Responsible Person.

The requirement to ensure that Responsible Persons are not disqualified from managing corporations applies even if your charity is not a company.

Provide confirmation that for existing or potential Reasonable Persons UNE:

• understands how a person becomes disqualified
• does a search of the ASIC Disqualified Persons Register for that person
• does a search of the ACNC Register of Disqualified Persons for that person (the ACNC has not disqualified anyone at this time), and
• requires each of its Responsible Persons to sign a declaration confirming that they are not disqualified and that they understand what it means to be disqualified

If UNE suspects that a Responsible Person is disqualified, UNE must take further steps to be satisfied that the person is not disqualified.
Impacts
Responsible Manager Susannah Warrick, Director Governance and University Secretary
Coordinating Officer Susannah Warrick, Director Governance and University Secretary
Coordinating Unit Office of the Director Governance and University Secretary
Oversight Committee/Group None
Business Units Impacted
  • Finance
  • Office of the Chief Financial Officer
  • Office of the Chief Operating Officer
  • Office of the Director Governance and University Secretary
  • Office of the Vice-Chancellor and CEO
  • Strategic Procurement
  • UNE Council
  • UNE Foundation Limited
  • UNE Foundation Trust
  • UNE Life
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
 
Return to Top Governance Standard 5: Duties of Responsible Persons
Description UNE must take reasonable steps to make sure that its Responsible Persons are subject to, understand, and carry out the duties as follows:

- to act with reasonable care and diligence
- to act honestly and fairly in the best interests of the charity and for its charitable purposes
- not to misuse their position or information they gain as a Responsible Person
- to disclose conflicts of interest
- to ensure that the financial affairs of the charity are managed responsibly, and
- not to allow the charity to operate while it is insolvent.

UNE can meet this standard by:
• bringing these duties to the attention of Responsible Persons (such as providing them with a copy of this guidance or other resources) or outline their duties in a letter of appointment or by setting them out in a board or committee charter
• regularly provide information or training to Responsible Persons on their duties to refresh their knowledge (such as by advising of ACNC webinars on relevant topics, such as Welcome to the board)
• encourage Responsible Persons to attend, prepare for, and participate at meetings
• have processes for the responsible management of money
• have processes in place to manage conflicts of interests, and
• take action if your Responsible Persons are failing to meet their duties.

Impacts
Responsible Manager Susannah Warrick, Director Governance and University Secretary
Coordinating Officer Susannah Warrick, Director Governance and University Secretary
Coordinating Unit Office of the Director Governance and University Secretary
Oversight Committee/Group None
Business Units Impacted
  • Finance
  • Office of the Chief Financial Officer
  • Office of the Chief Operating Officer
  • Office of the Director Governance and University Secretary
  • Office of the Vice-Chancellor and CEO
  • Strategic Procurement
  • UNE Council
  • UNE Foundation Limited
  • UNE Foundation Trust
  • UNE Life
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
 
Return to Top Governance standards and external conduct standards
Description Compliance with the Governance Standards and External Conduct Standards is a condition of entitlement to registration under paragraph 25'5(3)(b) of the Act

Many of the obligations outlined in the Governance Standards and External Conduct Standards are met under separate legislation and captured in various tasks under separate Drivers. The obligations not covered by other legislation will be outlined under this Driver.
Impacts
Responsible Manager Susannah Warrick, Director Governance and University Secretary
Coordinating Officer Susannah Warrick, Director Governance and University Secretary
Coordinating Unit Office of the Director Governance and University Secretary
Oversight Committee/Group None
Business Units Impacted
  • Finance
  • Office of the Chief Financial Officer
  • Office of the Chief Operating Officer
  • Office of the Director Governance and University Secretary
  • Office of the Vice-Chancellor and CEO
  • Strategic Procurement
  • UNE Council
  • UNE Foundation Limited
  • UNE Foundation Trust
  • UNE Life
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