Legislative compliance

What is the Leglislative Compliance framework?

The University’s legislative compliance framework describes how the University ensures its activities are undertaken within the law. In line with other University frameworks (e.g. Delegations and the Policy Register) senior managers (Legislation Owners) have been assigned responsibilities to ensure University compliance with relevant New Zealand legislation and regulations.


Why do we need a legislative compliance framework?

The University could face severe penalties for failing to comply with legislation. Consequences can include:

  • loss of reputation
  • loss of accreditation
  • substantial fines
  • injunctions
  • damages
  • prosecution
  • imprisonment
  • dismissal from office
  • suspension of funding from the TEC
  • disestablishment of the University
  • breaches of banking and other key covenants


What is a Legislation Owner-what does that mean?

A ‘Legislation Owner’:

  • is a member of the Senior Management Team
  • is accountable for ensuring that requirements under legislation are met
  • reviews changes to legislation and informs staff of any impact of these changes
  • is responsible for reporting to the Vice-Chancellor, Audit Committee, Risk Manager and University Council on an annual basis or when a serious breach is identified
  • is someone who ensures that, on a day to day basis, compliance is achieved and has processes in place that enables regular monitoring to occur by, for example,
    • providing access to training for key staff
    • ensuring that inspections have been conducted and situations assessed as appropriate
    • reports of instances of breaches including the outcomes of any such instance, what steps have been taken to prevent further breaches, and where there are on-going compliance issues


What is the legislation which affects the University?

A number of New Zealand Acts have been identified as having the greatest impact on the University.  These are detailed in the Legislative Compliance Register.


What do I need to do to comply with these Acts?

For the most part compliance with University policies, Statutes, and other related documents will be sufficient to maintain legislative compliance. These documents reflect the specific sections of the Acts which apply to the University and can be found in the Policy Register. In some instances the University has not translated an Act into a policy or Statute. However, the Legislation Owner will make other arrangements, such as specific job descriptions, to cover compliance activity in these instances. You are not expected to read or digest the Legislation directly.


What are our assurance measures-how do we know we are compliant?

To enable Legislation Owners to provide this assurance, there are a series of measures which can be adopted; these include:

  • provision of training or seminars for staff involved in relevant activity
  • including responsibilities for compliance as part of Evolve or APR objectives
  • ensuring job descriptions are appropriately updated to reflect responsibilities that relate to compliance activity
  • providing clear policy statements that assist staff to comply with legislation
  • scheduling of internal audit and other compliance checks and responding to identified non compliance
  • completing Annual Letters of Representation to report levels of compliance
  • encouraging staff to notify Legislation Owners or their line manager when they notice non- compliant activity


How can I find out more?

Additional help and information is available from a variety of sources:

If you have any queries about the University's Legislative Compliance Framework, please contact legislative-compliance@auckland.ac.nz.