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Legislative Compliance

Approval Date
2 February 2018
Approved By
Chair: OP Board
Next Review
1 March 2019
OP Board
Baldrige Criteria

Otago Polytechnic Limited (Ltd) is committed to ensuring that it conducts its business in a lawful, professional, and ethical manner.

The Polytechnic’s commitment to legal compliance in all aspects of its operations is demonstrated by the development, maintenance and ongoing improvement of the Legislative Compliance System set out in this policy. The scope of this policy is “legislative compliance”, that is compliance with all relevant statutes and regulations.


1.          The Legislative Compliance System is made up of:

a.              Allocating responsibilities for legislative compliance;

b.              Proper resourcing of the Legislative Compliance System;

c.              Identifying and assessing legislative compliance obligations;

d.              Regular monitoring and reporting of legislative compliance including any compliance failures;

e.              Ongoing training of staff to enable them to fulfil their compliance obligations;

f.               Reviewing the Legislative Compliance System;

g.              Updating by the Polytechnic’s solicitors as to applicable legislation and risk as appropriate.


2.          The policy applies to all activities of Otago Polytechnic Ltd at governance, management, and operational levels.


3.          The Chief Executive may delegate responsibility for compliance to specific members of the Polytechnic's Executive Leadership Team, Heads of College and Directors.

3.1.         Chief Operating Officer:

3.1.1.    The Chief Operating Officer will oversee the maintenance of an up-to- date Register of Key Legislation based on an assessment of the major risks to the Polytechnic. The Register will include:

a.              a summary of the key legislation;

b.              the risks or consequences of failure to comply; and

c.              the member of Executive Leadership Team responsible for each compliance area.

3.1.2.    The Chief Operating Officer is also responsible for managing the Polytechnic's Legislative Compliance System and for reporting routines that include providing "positive assurance" to the Board annually that the Polytechnic has complied with relevant legislation.

3.2.         Contracts Manager:

3.2.1.    The Contracts Manager will be responsible for the following duties:

a.              maintaining the Register of Key Legislation;

b.              liaising with the Polytechnic's legal and risk advisors on any new requirements;

c.              recommending changes to the Polytechnic's Register of Key Legislation, reflecting changes to legislation, and the recommendations of the Polytechnic’s legal advisers;

d.              advising the Chief Operating Officer on any legislative compliance issues not delegated;

e.              co-ordinating the Legislative Compliance System reporting systems and arranging audits of the System.

f.               Ensuring that reporting under section 4 of this policy is completed. 

3.3.         Executive Leadership Team, Heads of College, and designated Directors have the responsibility detailed in the Register of Key Legislation. In fulfilling that responsibility, they will:

a.              liaise with the Contracts Manager on changes to legislation compliance requirements;

b.              advise on compliance issues;

c.               establish and implement systems, procedures, guidelines, training programmes, informative materials and take such other action as may be reasonably required to ensure legislative compliance;

d.              report annually on compliance status including signed Declaration Forms;

e.              report immediately, on any identified risk exposure;

f.                report immediately, on any critical breach

g.              maintain all necessary records as are reasonably required.

3.4.         All Polytechnic staff are responsible for acting in a legally compliant way in the course of their duties and should:

a.              be aware of, and comply with, the legislative obligations relevant to their role;

b.              undertake any necessary compliance training and be aware of the Polytechnic’s policies and procedures which promote and support legal compliance; and

c.               report any compliance concerns, issues, and failures in accordance with this policy, and know that such reporting is valued and encouraged by the Polytechnic.

4.          Resourcing and Training

4.1.         The Polytechnic is committed to properly resourcing the development, maintenance, and improvement of the Legislative Compliance System.

4.2.         The competence and training requirements for the achievement and promotion of legislative compliance at the Polytechnic will be assessed on an ongoing basis.


5.          Monitoring and Reporting of Legislative Compliance

5.1.           In addition to a specific obligation to report actual or potential breaches of legal obligations to the Chief Operating Officer and Finance and Audit Committee as they become known, regular monitoring of legislative compliance will be undertaken and reported as follows:

a.              Annual reports to Chief Operating Officer from Executive Leadership Team, Heads of College, and designated Directors on compliance with legislative requirements, and reporting non- compliance occurrences;

b.              annual declarations by all responsible managers

c.               annual report and declaration from the Chief Operating Officer to the Finance and Audit Committee on the Polytechnic’s overall compliance with legislative requirements.

5.2.         Legislative Compliance reports will also:

a.              highlight any significant changes to the Polytechnic’s legislative compliance obligations which have occurred since the last report or which are known to be about to occur, and the strategies in place to meet new or altered obligations;

b.              provide commentary on any significant areas of poor, reduced or improved compliance performance, including details of the corrective action taken, or proposed to be taken, where significant legislative compliance breaches have been identified; and

c.               provide evidence of the Compliance System’s effectiveness, achievements, and trends.

5.3.         The Polytechnic’s policy and procedures will be regularly reviewed and updated as a part of business as usual, with any immediate need to update or amend this Policy identified through: regular monitoring of compliance; reporting of compliance breaches; and the timely notification of changes to legislation.


Legislative Compliance  - Register of Key Legislation and Declaration of Compliance