Risk and Management Compliance

Risk and Management Compliance

Charles Darwin University places a high priority in meeting best practice standards in corporate governance.

This is demonstrated by:

  • reference to relevant Australian and International Standards
  • reference to pronouncements and advice on governance from bodies such as the Universities Australia, University Chancellors' Council, Chartered Secretaries Australia, Australian Institute of Company Directors and the Australian Stock Exchange
  • compliance with the Tertiary Education Quality and Standards Agency (TEQSA) and Australian Skills Quality Authority (ASQA) .

Two elements of good governance are:

  • a systematic process of identifying and managing risk
  • a robust and independent internal audit and compliance function.

Australian standards are published documents setting out specifications and procedures designed to ensure products, services and systems are safe, reliable and consistently perform the way they were intended. They establish a common language which defines quality and safety criteria.

These documents are based on sound industrial, scientific and consumer experience and are constantly reviewed to ensure they keep pace with new technologies.  They cover everything from consumer products and services, records management, engineering, business, information technology, human services to energy and water utilities, the environment, risk management and more.

Each standard is developed by a committee made up of technical, business, academic, government and community experts who come together to debate how a product or system should perform and how it should be made. Before finalisation, every standard is subject to public comment to ensure everyone with an interest in the subject has the opportunity to input.

Australian Standards are developed by the non-government standards development body, Standards Australia. Australian standards are aligned to international standards.

International standards are standards developed by international standards organizations. International standards are available for consideration and use, worldwide. A prominent organisation developing and reviewing international standards is the International Organization for Standardization (ISO).

International standards may be used either by direct application or by a process of modifying an international standard to suit local conditions. The adoption of international standards results in the creation of equivalent, national standards that are substantially the same as international standards in technical content, but may have (i) editorial differences as to appearance, use of symbols and measurement units, substitution of a point for a comma as the decimal marker, and (ii) differences resulting from conflicts in government regulations or industry-specific requirements

Standard NameStandard NumberJurisdictionAbstract
Australian/New Zealand Standard - In-service Safety Inspection and Testing of Electrical EquipmentAS/NZS 3760:2010
(replaces 3760:2004)
Australia and New ZealandSpecifies procedures for the safety inspection and testing of low voltage single phase and polyphase electrical equipment, connected to the electrical supply by a flexible cord or connecting device.
Australian/New Zealand Standard - Records Management – Physical StorageAS/NZS 1015:2011Australia and New ZealandCovers all types of storage media, e.g. paper, audio visual material, micro-forms and machine readable formats, but excludes electronic records on networks, hard-drives or in data centres.
Australian/New Zealand Standard - Risk Management Principles and GuidelinesAS/NZS ISO 31000:2009
(replaces AS/NZS 4360:2004)
Australia and New ZealandProvides a generic guide for managing risk. It may be applied to a wide range of activities or operations of any public, private or community enterprise, or group.
Australian/New Zealand Standard – Information and Documentation – Implementation guidelines for digitization of recordsAS/NZS ISO 13028:2012Australia and New ZealandEstablishes guidelines for creating and maintaining records in digital format.
Australian/New Zealand Standard - Safety in Laboratories Part 9: Recirculating Fume CabinetsAS/NZS 2243.9:2003Australia and New ZealandSpecifies requirements and recommendations for the design, manufacture, selection and use of recirculating fume cabinets (sometimes referred to as 'ductless fume cupboards') for use in laboratories. Includes test methods to determine their performance.
Australian/New Zealand Standards - Safety in Laboratories Part 10: Storage of ChemicalsAS/NZS 2243.10:2004Australia and New ZealandSpecifies procedures and requirements for the segregation and storage of chemicals in laboratories and stores associated with laboratories.
ISO – Information and Documentation - Records Management Part 1: GeneralISO15489-1:2001InternationalThis part of ISO 15489 provides guidance on managing records 1) of originating organizations, public or private, for internal and external clients.
ISO - Information and Documentation – Records Management Processes – Metadata for Records - Part 1: PrinciplesISO 23081-1:2006InternationalCovers the principles that underpin and govern records management metadata.

As part of the University’s regular compliance regime reports are submitted regarding:

  • Reviews by External Organisations
  • Potential Conflicts of Interest
  • External Sponsorships
  • Corporate Gifts
  • Potential Legal Disputes
  • Policies and Procedures

Reviews by External Organisations

As part of our regular reporting to the Audit and Risk Committee we include a list of reviews conducted by external organisations on University operations.  Examples of recent external agency compliance reviews include:

  • The Department of Health conducted an inspection of the teaching kitchen facilities on the Palmerston and Alice Springs campuses.
  • The Office of Human Resource Services was recently audited by the Department of Immigration checking on visa compliance with staff recruited from overseas.
  • The IELTS testing centre of the Community Services, Health and Literacy Industry Division was recently audited by IELTS.
  • Course accreditation by professional bodies.
  • Statutory compliance testing.

Please send details and reports from external organisations that have undertaken audit or compliance testing to Ross.Springolo@cdu.edu.au

Potential Conflicts of Interest

Please inform us if you have been made aware of any potential or real conflicts of interest involving members of your portfolio area? If you have been made aware of an instance, was it handled in accordance with the Conflicts of Interest Policy?

The obligation to avoid potential conflicts of interest requires a staff member:

  • Not to improperly use his or her position to gain a benefit;
  • Always to act so as to avoid conflicts – actual, potential or perceived – between personal interests and the interests of the University; and
  • To declare situations to a supervisor or other authorised person that might reasonably give rise to, or be perceived as, conflicts between interests or between personal interest and obligations to the University.

For further information regarding conflicts of interest please refer to Conflicts of Interest page. Please send brief details of any potential conflict of interest to Ross.Springolo@cdu.edu.au 

External Sponsorships

As part of regular reporting to the Executive Leadership Group we include a list of those external activities where the organisational unit has agreed to be a sponsor.  Sponsorship includes cash and/or in-kind support such as providing a venue free of charge for an external organisation, providing administrative support or providing equipment or material. 

Please provide brief details (such as entity and activity being sponsored) of any new external sponsorship/s to Ross.Springolo@cdu.edu.au

Corporate Gifts

As part of our compliance regime, we need to record the receipt of gifts from external parties connected with the University where that gift is valued at $100 or more.  Did you or any members of your portfolio area receive any form of a gift from an external party to the value of $100 or more?  If so was this gift recorded in the official Gift Register?

Given recent high-profile incidents involving the non-declaration of the receipt of gifts, it is important that any gifts received, with a value of more than $100, by any member of the University community are reported and recorded.  Examples of gifts provided by external parties would  include:

  • Free flights and accommodation;
  • Sponsorship to attend conferences where the University does not have membership of the host organisation;
  • Tickets to sporting events such as the V8 Supercars;
  • Darwin Cup Carnival tickets
  • Melbourne Cup Race Day tickets
  • Australia Day Gala Ball tickets
  • Ladies Day Race Tickets
  • Bottles of wine, food and refreshments.

Please report corporate gifts to Ross.Springolo@cdu.edu.au

Potential Legal Disputes

A regular report is provided to Audit and Risk Committee relating to any dispute which has resulted in legal action or has the potential to escalate to legal action.  Such disputes may be with CDU students, suppliers, contractors, consultants, businesses, organisations or institutions.

Please forward brief details of any issue which you believe may escalate to a dispute resulting in legal action, which has arisen from your portfolio area, to Ross.Springolo@cdu.edu.au

If you have previously reported a legal dispute or a potential legal dispute and the issue has been resolved please provide this information so that the entry can be removed from the list. 

Policies and Procedures

As part of the University’s compliance regime, governing documents are continuously reviewed and updated.  If you have used any University policy or procedure which you believe:

  • Does not conform with actual University practice;
  • Contradicts other University policies and procedures; and/or
  • Does not conform to Territory or Commonwealth Acts or Legislation.

Please report any problems with University Policies or Procedures to Ross.Springolo@cdu.edu.au