Legal Compliance Policies & Responsible Officers

The following tables have been compiled to assist Heads of Cost Centres by:

• Providing a quick overview of the main categories and areas of legal compliance risks they are likely to be required to manage in their cost centres.
• Providing hyperlinks to related University policies that describe how staff can ensure their actions are compliant with external legal requirements.
• Providing the names of relevant University Compliance Officers who can assist Heads with legal compliance queries where policy documents are silent or unclear.

Table 1 has been developed to assist Heads of Cost Centres with an academic focus with their responsibility for identifying and managing risks of legal non-compliance.

Table 2 has been developed to assist Heads of Cost Centres with an administrative focus with their responsibility for identifying and managing risks of legal non-compliance.

Table 3 contains information about non-generic categories of legal compliance risk. The laws referred to in this table may create significant non-compliance risks but will do so for only a few Heads.

The designation of University Legal Compliance Officer is given to a small number of officers of the University deemed to have specialist operational knowledge and experience in a functional area impacted by specific legal requirements.

University Legal Compliance Officers have played key roles in the development of policies that provide valuable information about legal requirements and how Heads and their staff should conduct their activities to ensure compliance. Refer to the University’s Legal Compliance Policy for details of their other legal compliance responsibilities.

With the assistance of the University Legal Compliance Officers, Heads of Cost Centres are responsible for identifying cost centre structures, policies, practices, activities, processes, systems, agreements, cultures, forms and manuals that may create risks of non-compliance. Refer to the University’s Legal Compliance Policy for details of their other legal compliance responsibilities.

Heads of Cost Centres are referred to the Annual Legal Compliance Certification Explanatory Guidelines and the Generic Cost Centre Legal Compliance Risk Register for detailed advice about the process of legal risk identification.