How to use this Manual

Scope of this Manual

This Manual outlines the compliance obligations that are applicable to most, if not all, employees of the University. For each compliance obligation, the manual provides:

  • An overview of the compliance activity, the specific obligations imposed on the University and the implications of non-compliance.
  • An explanation and links to the internal compliance mechanisms (eg. polices, procedures, training) established by the University to ensure the compliance obligations are satisfied.
  • Details of what is expected from you as an employee and, if applicable, as a manager or supervisor, for the University to meet its compliance obligation.

How to use this Manual

The Manual provides a summary of compliance obligations. You should use the Manual to:

  • Educate yourself on your compliance obligations and the obligations of employees you manage or supervise.
  • Direct you to the details of the internal compliance mechanisms in place for managing compliance obligations.
  • Undertake a review of your existing work practices and procedures to determine if improvements or changes need to be made to ensure compliance.

Importantly, the Manual does not refer to specific legislation, regulations or standards, but rather addresses the compliance obligations by topic. Ensuring that your activities are conducted in accordance with the internal compliance mechanisms will enable compliance with the applicable statutes.

The manual is not a comprehensive listing of all legal obligations imposed on the University, but does provide information on the compliance obligations that affect daily activities and operations of the University. It is an educational tool and should be used to help train employees in your workplace about the standards of behaviour expected by the University. Further compliance obligations not included in this Manual may apply to you and your work area if your activities involve work in a specialist area. In these instances, compliance profiles (see below) can be generated for specific roles or work areas.

Specific compliance questions should be discussed with your supervisor in the first instance. The Compliance Unit may be contacted for general advice and guidance.

Important documents for employees at UNSW

Code of Conduct - All employees of the University must familiarise themselves with the Code of Conduct. The code sets out the University’s expectations of staff and affiliates with respect to their professional and personal conduct. The overarching obligation of all staff and affiliates is to act in the best interests of the University at all times.

The Code can be viewed by clicking here.

Register of Delegations - The governing authority of the University is the Council. Authority to act for and on behalf of the University is vested in the Council, however Council may delegate any or all of its functions (except the power of delegation) to any body or officer of the University. Some matters that the Council has exercised its authority to delegate include finance, personnel and use of the University Seal.

It is essential that employees acting on behalf of the University do so only within an authorised delegation of Council. All delegations of Council are recorded in the Register of Delegations.

The register can be viewed by clicking here.

Compliance Register - The Compliance Unit maintains a register of all legal compliance obligations imposed on the University. The information included in this manual has been drawn from the register.

More information:
Paul Serov
Compliance Manager
Phone: 02 9385 8369