Legislative compliance

Direction on managing legislative compliance to ensure the department meets requirements in key legislation.

2021 Jul 27 - new policy.

  1. Policy statement
    1. The department is committed to continuous improvement in implementing and monitoring legislative compliance.
    2. The department is responsible for applying and implementing key legislation. Primary responsibility for legislative compliance rests with the senior officer of particular business units.
    3. The department has wide-ranging legislative responsibilities and requires an overview of legislative compliance.
    4. This policy aims to provide appropriate systems to gain assurance that:
      1. the department is aware of its legislative responsibilities
      2. staff are aware of, and comply with, legislative responsibilities
      3. there are appropriate arrangements for monitoring, enforcing (where appropriate) and reporting on compliance with legislative obligations.
    5. Senior officers are responsible for implementing compliance and accountability measures for legislation.
    6. Senior officers determine appropriate measures by assessing the risk and effect of non-compliance.
    7. Non-compliance with legislation is managed appropriately and in accordance with legislation and applicable department policies.
  2. Audience and applicability
    1. All permanent and temporary corporate staff.
  3. Context
    1. The Internal Audit and Risk Management Policy for the NSW Public Sector (PDF 545 KB) requires the department to establish a control framework and determine whether the appropriate processes are in place to assess whether laws, legislation and regulations are complied with.
  4. Responsibilities and delegations
    1. Responsible officers (as listed in the Legislative compliance procedures (PDF 551 KB)):
      1. determine the legislation their business units are responsible for using the list provided in the procedures
      2. establish and maintain appropriate and defensible legislative compliance, including appropriate governance arrangements
      3. report on legislative compliance in accordance with the procedures
      4. maintain or delegate an officer at the director or manager level to maintain appropriate systems and processes for recording instances of recording instances of reportable non-compliance. This cannot be sub-delegated
      5. undertake appropriate remedial action/ensure that appropriate remedial action is taken to address reportable non-compliance
      6. escalate issues involving non-compliance to the appropriate Executive Director or Deputy Secretary where required
      7. establish processes to identify and manage relevant changed compliance requirements arising from new legislation or legislative amendments
      8. coordinate on compliance with other identified responsible officers where responsibility for legislation is shared between business areas
      9. liaise with Legal Services in relation to the legislative compliance assurance framework
      10. liaise with the relevant regulator/authority body as appropriate or required.
    2. Legal Services:
      1. maintain a current list of portfolio legislation and key or high-risk legislation
      2. advise on legislation and legislative compliance matters as required
      3. develop, maintain and review the legislative compliance framework, support materials, advice and tools.
  5. Monitoring and review
    1. The General Counsel, Legal Services monitors the implementation of this policy, regularly reviews its contents to ensure relevance and accuracy, and updates it as needed.
  6. Contact
    Senior Legal Officer, Risk

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