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.

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.

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.

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.

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.)

Figure 1: Compliance Management Program Illustration

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.