Legislative Compliance Policy


Introduction


The aim of this policy is to establish a framework which identifies the key legislation with which the University must comply. The body of legislation is so large that priorities for attention have been established. An annual risk analysis review of legislation will be undertaken, particularly of new and changed legislation, to maintain the currency of the Register of Key Legislation.

The University has identified key legislation using a risk based approach. The major risks being:

  • damage to the reputation of the University
  • personal liabilities of staff members, students, and members of Council financial penalties

A summary of key legislation is included in the Legislative Compliance Policy and Procedures manual  

Every effort has been made to identify the legislation which staff members and others are likely to encounter in the normal course of their employment or other involvement with the University. But it is imperative to note that the requirement is that the University and its staff members, agents and contractors must comply with all New Zealand statute law and common law obligations. The list of statutes and other obligations set out in this Legislative Compliance Manual cannot hope to be exhaustive. If staff members and others learn of legislation (including new statutes or regulations) of relevance to their roles within the University, such legislation should be referred to the DVCO for possible inclusion in this manual.

Application


This policy applies to all functional entities of the University, including subsidiary companies and bodies, and to all staff members, members of Council, and students.

Purpose


To enable Council to carry out its statutory functions and duties by establishing and maintaining systems for monitoring and reporting on the University’s compliance with key legislation.

Policy


1. The Office of the Vice Chancellor has established and will maintain a Register of Key Legislation with which the University must comply

2. The Register includes:

  • the key statutes and relevant legal obligations
  • the person responsible for oversight and reporting on each compliance area
  • guidelines on monitoring and reporting compliance

3. The Council and Vice Chancellor delegate to appropriate committees and specific members of the University’s staff responsibility for:

  • identification of compliance issues
  • development of compliance systems including the communication of compliance requirements to staff and students
  • monitoring and reporting compliance

4. The DVCO will make an Annual Report to Council through the Audit Committee on the following:

  • status of compliance
  • significant changes to the Register

5. Reports to Council should, wherever appropriate, include a statement of the action  taken  or  proposed  to  reduce  or  eliminate  a  present  or  future exposure to risk

6. Designated staff members will prepare reports containing a statement of action required  or  recommendations  for  the  DVCO,  as follows:

  • Statement of compliance (Annual)
  • Exposure to risk for serious breaches or claims (Immediately)

Notes:

  • Some items of legislation may contain elements covering several activity areas for which responsibility falls on different staff
  • Several staff members may have responsibility for compliance with the same legislation
  • Staff members with primary responsibility for oversight and reporting on legislative compliance will be identified
  • There are many pieces of legislation which impact on the University and represent differing levels of risk
  • Adherence to this policy will minimise the University’s risk exposure, although the possibility of legal action from various sources will always exist
  • The concept of “key relevant compliance” aims to focus on those Acts and provisions which have compliance requirements which, if not satisfied, could expose the University, its staff, students, or members of Council, to risks, such as:
    • damage to reputation financial penalty

    Loss of income

    • Inability to fulfil educational, administrative, or business goals and objectives
    • Legal action

Definitions


The following definitions apply to this policy:

Common Law means law derived from judicial precedent

DVCO refers to the Deputy Vice-Chancellor Operations 

Legislation/Statute law means law passed by parliament, including an Act

Staff member refers to an indivual employed by te University ofn a full or part time basis 

University means the University of Auckland and includes all subsidiaries

Document management and control


Content manager: Legal Counsel

Owned by: Registrar

Approved by: Vice-Chancellor

Date approved: May 2007

Review Date:  September 2014