Non-compliance Incident Reporting

Western Sydney University staff and its community (i.e. students and members of the public) are encouraged to report, on its central reporting Register (opens in a new window), potential (risks), imminent (threats), or actual (issues) incidences that affect the fulfilment of the University’s operational and procedural compliance as it relates to its legal and policy obligations.

  • the cause of incident is identified and 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 / minimization 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

  1. Breaches of an obligation of a law on the Compliance Directory (with a few exceptions, see below). For example, the destruction of documents before the minimum retention period (contravention of the State Records Act).
  2. 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).
  3. Non-fulfilment of University Procedure, for example failing to complete an annual declaration for conflicts of interests (contravention of the Conflict of Interest Procedures).

Types of incidents not to report on the Register

f your report concerns the following, please follow the linked procedures of the managing department (do not log these types of incidences with the CPU):

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.

Non-Compliance Incident Reporting process flow