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(1) This policy affirms RMIT’s commitment to compliance management and outlines the framework and objectives for managing compliance obligations. It promotes a positive compliance culture that fosters ethical conduct and supports good governance and operational excellence at RMIT. (2) The process for identifying, monitoring and reporting on compliance management is detailed in the Compliance Procedure and Compliance Breach Management Procedure, both of which are to be read in conjunction with this policy. (3) RMIT is subject to a wide range of compliance obligations, including compliance requirements under applicable laws, regulations, standards, codes of practice, and compliance commitments made by RMIT. (4) Compliance management involves identifying, implementing, assessing and reviewing compliance with obligations. To effectively address the pace of change in an evolving regulatory environment, compliance management is continuous and timely. This approach supports decision-making and management practices, and integrates with the RMIT risk management framework. (6) Throughout this policy and its associated policy resources, RMIT means the RMIT Group. The RMIT Group is defined as RMIT University and its controlled entities (e.g. RMIT Vietnam, RMIT Europe, RMIT Online and RMIT University Pathways – formerly known as RMIT Training). (7) This policy applies to all staff, researchers, affiliates, contractors and volunteers of the RMIT Group. All members of the RMIT community are responsible for understanding and fulfilling compliance obligations. (9) RMIT’s Compliance Policy is driven by continuous improvement and awareness of compliance obligations across all operating areas and locations. (10) RMIT’s Compliance Policy is informed by governance structures and instruments including but not limited to: (11) The Audit and Risk Management Committee assists the RMIT University Council in discharging its responsibilities to the (12) Members of the Vice-Chancellor's Executive: (13) The Executive Director, Governance, Legal and Strategic Operations is responsible for the Compliance Policy and its associated procedures and resources. (14) The Central Compliance team: (15) Legislative Owners and Legislative Specialists: (16) All staff and researchers remain individually accountable for their actions as members of the RMIT Group community, bound by the Code of Conduct and relevant enterprise agreements. They have a responsibility to: (17) Contractors and volunteers have a responsibility to: (18) Regular reporting on significant breaches, trends, systemic issues, and the level of compliance across the RMIT Group is provided to the RMIT University Council and Audit and Risk Management Committee. This provides reasonable assurance that: (19) To ensure appropriate visibility, oversight and governance of compliance management, the Central Compliance team coordinates biannual reporting to VCEM and ARMC, with input from Legislative Owners and Legislative Specialists. When in-depth discussions on specific legislation are required, Legislative Owners will lead these discussions at relevant governance meetings. (20) The Education Regulation, Compliance and Assurance (ERCA) team: (22) The Central Compliance team monitors compliance with this policy and reports on breaches to internal governance bodies, as required, in accordance with the Compliance Breach Management Procedure. (23) Breaches of this policy by a staff member are managed in accordance with the Code of Conduct and the Compliance Breach Management Procedure as appropriate. (24) This policy is maintained by the Central Compliance team and is reviewed every five years in accordance with the Policy Governance Framework. (25) Periodic reviews will align with ISO 37301:2021 Intentional Standard for Compliance Management. (27) Compliance Breach Management Procedure (28) Compliance Escalation Guide.Compliance Policy
Section 1 - Purpose
Section 2 - Overview
Top of PageSection 3 - Scope
Section 4 - Policy
Principles
Responsibilities
Assurance
Compliance
Review
Section 5 - Procedures and Resources
Section 6 - Definitions
Accountable Officer
A member of the VCE or a specified legislative or regulatory delegate who is accountable for resourcing and nominating Legislative Owners and Legislative Specialists.
Breach
A failure to meet the clauses, principles, or requirements of legislative obligations or RMIT policies. Significant or material breaches may be reportable to an external agency or regulator. See also: Material breach.
Compliance
Meeting all requirements of laws, regulations, statutes, standards and policies.
Compliance attestation process
A verification process undertaken by Accountable Officers (members of the Vice-Chancellor's Executive), where they attest to the effectiveness of internal controls and compliance or non-compliance with obligations that are relevant to their areas of operation throughout RMIT.
Compliance Breach Register
A record of Breaches of RMIT’s compliance obligations. The Compliance Breach Register is managed by Central Compliance via the RMIT University Organisational Breach Reporting Form.
Compliance management
The coordinated institutional approach to identifying, assessing, managing, monitoring, and reporting compliance obligations, risks and performance across the RMIT Group.
Compliance obligation
Refers to any legal, regulatory, contractual or internal requirement that RMIT must adhere to. This includes obligations arising from legislation, regulations, standards, codes of practice, and internal policies that govern RMIT’s operations and activities and ensures that RMIT meets its responsibilities to staff, students, government bodies and the broader community.
Legislative Owner
Legislative Owners are senior officers responsible for compliance with specific obligations and provide leadership to ensure requirements are met. They are accountable for guiding the implementation of compliance processes, systems and controls within their area, as well as implementing compliance action plans. Additionally, they are responsible for nominating legislative specialists for the Central Compliance team to liaise with, and provide the annual attestation for compliance for their area of business.
Legislative Specialist
Subject-matter experts with operational knowledge of how specific legislation or Acts apply to RMIT. They support the legislative owner in implementing the Compliance Policy, provide advice about specific legislation, and are responsible for facilitating or undertaking assessments against obligations.
Material breach
A severe and significant breach, in terms of scale and/or regulatory requirements, or with implications for safety and security, and/or legal requirements. See also: Breach.