Important messages, dates and news from the Faculty office.
FAS Heads and Directors
Regulatory Compliance Framework Memo
Deadline to respond: July 31
In response to an internal audit on regulatory compliance management, University Counsel submitted the Regulatory Compliance Framework to the Audit and Risk Committee. As you may know, compliance with legislative and non-legislative requirements is often managed in a decentralized fashion within individual departments and units. The objective of the Framework is to coordinate institution-wide compliance activities and reporting, and to ensure that compliance is managed effectively. Such coordination will also facilitate Queen's University's ability to demonstrate compliance, both internally and to its external regulators.
Per the Framework, University Counsel's first step is to update the chart (attached), titled Laws Applicable to Queen's University. The purpose of this document is to capture all the legislative requirements (e.g. statutes, regulations) and non-legislative requirements (e.g. government directives, external policies and guidelines) with which Queen's University must comply.
Please do the following:
Identify at least one (1) individual who has functional responsibility for compliance in each department/unit within their area of responsibility. Individuals with functional responsibility are those with first-hand knowledge of compliance requirements and practices.
The individuals with functional responsibility should review the chart and (a) identify all legislative and non-legislative requirements that apply to their department/unit, (b) add any requirements that are missing, and (c) edit the chart, as needed, to ensure accuracy.
Please have completed charts sent via e-mail to the Office of the University Counsel ([email protected]) on or before July 31, 2017.
The goal is to ensure that University Counsel receives a list of the legislative and non-legislative requirements applicable to every department/unit within your portfolio.
If you have any questions or concerns, please do not hesitate to contact Lisa Newton or myself.
