Management plan

1. Identify Faculty compliance obligations

Maintain current knowledge of general compliance obligations in the tertiary environment, through, for example:

  • participating in training sessions.
  • liaising with other relevant areas of the University, e.g. Compliance Office, Risk Management Office.

2. Identify Faculty risk areas

  • Maintain current knowledge of the major risk areas identified by the University.
  • Assess the Faculty's Top 10 risks each year as part of the Strategic Risk Assessments/Operational Performance Review.
  • Determine how the Faculty's Top 10 risks translate to Departments.
  • Assist Science Departments to identify their Top 10 Risks each year.

3. Manage the risks

Develop policies, systems, and procedures to manage the risks that have been identified.

4. Impart knowledge to Faculty staff and students

  • Raise the general awareness of the importance of Compliance in the workplace.
  • Ensure an adequate level of staff knowledge about compliance requirements.


  • Department visits
  • 'Inside Science' bulletins
  • FADM meetings
  • Promoting attendance at Compliance Office training seminars
  • Informing Departments of the relevant sections on the Compliance Program website

5. Monitoring & auditing

Monitor the effectiveness of the CMP through:

  • Compliance Self-Reviews.
  • Inclusion of a compliance component in annual self-audits and self-assessments.
  • Annual Performance Appraisal Round.
  • Participation in external reviews and audits, as required.

(Managers and Finance & Facilities Committee to oversee.)