Non-compliance Incident Reporting

Western Sydney University staff and its community (i.e. students and members of the public) should promptly report all incidences of non-compliance on its central reporting Register (opens in a new window). These incidences are those that affect the fulfilment of the University’s operational and procedural compliance as it relates to its legal and policy obligations.

Benefits and outcomes from reporting incidences on the Register

  • the cause of incident is investigated and identified so that the appropriate corrective action is implemented e.g. training of staff versus updating procedures;
  • the incident is immediately rectified with as little interruption to an area’s activities and the achievement of its objectives;
  • prevention / minimisation of the incident, or a similar incident, occurring in other areas of the University; and
  • mitigation / reduction of any future penalties that may be imposed as the University will be able to demonstrate a genuine effort to rectify the incident in a timely manner.

Types of incidents to report on the Register

  • Breaches of legal obligations. For example, the destruction of documents before the minimum retention period (contravention of the State Records Act).
  • Non-compliance with University Policy. For example, a dog being brought on campus that is not subject to an exemption (contravention of the Animals on Campus Policy).
  • Non-compliance of University Procedure.  For example, failing to record a gift or benefit on the reporting register (contravention of the Gift and Benefit Reporting and Registration Procedure).

Remember: Incident Reporting is 'not telling on people' or 'policing activities', and non-compliance incidents are not necessarily caused by ill-intention. Incident Reporting is simply a mechanism that ensures the University continuously improves its policies, procedures, and operations. It is an integral part of the University's Compliance Management Program, and is extremely important to maintaining its compliance culture and compliant environment.

Note: If you’re concerned about a breach involving i) corrupt conduct (e.g. bribery, undue influence, improper use of position), ii) maladministration (e.g. action that is contrary to law, oppressive, or discriminatory, iii) serious and substantial waste of University money e.g. uneconomical, inefficient use of resources, or iv) Government Information (Public Access) Act 2009 contravention, please refer to the University’s Whistleblower (Reporting Corruption and Other Wrongdoing) webpage to make a report.

Non-Compliance Incident Reporting process flow