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Compliance Management Function (CMF)

Overview

The University's Compliance Management Function (CMF) operates throughout CPUT, offering comprehensive support, information, and advice to all staff regarding applying legislation and ethical considerations to their roles within the University.

In most instances, complying with the law and adhering to ethical standards is a matter of common sense. However, at times, a lack of technical knowledge may inadvertently lead to law or ethical guidelines breaches. Should you require guidance in identifying and addressing compliance and ethics concerns, the CMF is at your service; please contact us at compliance@cput.ac.za. The primary goal is to resolve any such issues as quickly as possible before any formal complaints or external scrutiny.

The CMF plays a pivotal role in coordinating the compliance and ethics program and supports identifying, classifying, and recording the University’s essential compliance requirements. These requirements are periodically communicated to the staff through various university communication channels.

CMF’s Collaborative Partnerships

Working closely with Risk Management, Internal Audit, and Legal Services, the CMF can access additional resources when the nature or implications of compliance and ethics matters evolve.

Within its purview, the CMF administers the Declaration of Conflict Interests Register, the Gifts and Hospitality Register, the Compliance Obligation Register, and the Non-Compliance Register. The latter register serves as the repository for recording all instances of non-compliance, with routine reports shared with senior managers. All staff, students, and other university stakeholders must report non-compliance or ethical concerns. For all anonymous whistleblowing reports of any unethical conduct, please get in touch with Vuvuzela.

Ethics and Compliance Framework

The Ethics Framework, the Compliance Management Policy, and the Compliance Management Program were established to safeguard the university's interests and uphold ethical and compliance standards. These documents provide information and resources to help staff understand, clarify, and manage their responsibilities regarding compliance and ethics. The primary objective is to maintain a robust culture of compliance and ethics, assuring the Vice Chancellor and University Council that the University actively adheres to its legislative compliance obligations, considers the impacts of any resulting changes, and ensures these are reflected in practices and procedures throughout the University.

Three Core Pillars

CPUT's Compliance Management Function is built on three pillars:

  1. Strengthening a culture of integrity and ethical behaviour.
  2. Mitigating compliance and ethics risks.
  3. Improving compliance and ethics issue response.

These pillars enable the Compliance Management Function to ensure compliance with relevant legislation, regulations, and policies while ethically advancing the university's strategic goals.

Integrity Culture and Ethical Behaviour

Integrity Culture and Ethical Behaviour

Goals:

  • Encourage all University stakeholders to embrace a culture of integrity, including ethical conduct and compliance with relevant legislation, regulations, and accountability throughout the university
  • Enable University leadership to identify and manage compliance and ethics responsibilities while promoting ethics and integrity.
  • Ensure all University stakeholders understand their legal, ethical, and policy obligations.
  • Identify resource gaps limiting the success of compliance and ethics efforts.

Mitigating Compliance and Ethics Risks

Goals:

  • Identify and mitigate top compliance and ethics risks.
  • Support central processes in the University, including the University policy process.
  • Establish consistent core compliance and ethics processes for the University to ensure the identification, assessment, and mitigation of compliance and ethics risks.
    (See Figure 1, taken from our Compliance Management Program.)

Compliance Management Program

Figure 1: Compliance Management Program Illustration

Improving Compliance and Ethics Issue Response

Goals:

  • Ensure appropriate response to top compliance and ethics issues.
  • Improve reporting on compliance and ethics issues to support appropriate accountability and ensure the completion of necessary corrective actions.

Compliance and Ethics management are addressed at several university levels, including the Council, Ethics and Governance Committee, Audit and Risk Committee, Executive Management, and Management Committee.

Specific Responsibilities

IDENTIFY
  • Identification and classification of legislation impacting the University and ethical considerations.
  • Maintenance of the Legislation and Declaration Registers (Compliance Obligation Register, Declaration of Conflict Interests Register, etc.).
DISSEMINATE
  • Provision of advice and guidance to all compliance and ethics matters.
  • Provision of high-level compliance and ethics education and framework training when required.
MONITOR
  • Administration of the Non-Compliance Register and Reporting System.
  • Monitoring and oversight of all identified and potential non-compliance and ethical concerns, ensuring the implementation of suitable action plans.
  • Ongoing monitoring, analysis, and review of compliance and ethics performance throughout the University.
CERTIFY
  • Support for certification through the Management Accountability Framework.
  • Reporting to the Executive Director of the Office of the Vice-Chancellor and/or the Governance and Ethics Committee (GEC) and the Audit and Risk Committee (AROC).

Contact us

compliance@cput.ac.za