Legal Compliance Framework · 2020. 8. 19. · Introduction . Legal Aid NSW is committed to maintaining high standards of corporate governance by ensuring compliance with all relevant

LEGAL COMPLIANCE FRAMEWORK

Legal Compliance Framework

Item Description

Policy description The approach taken by Legal Aid NSW to meet its legal and compliance obligations

Division In-house Counsel Unit, Policy Planning & Programs

Executive Director Director, Policy Planning & Programs

Contact Manager In-house Counsel Unit

Date approved 4 August 2020

Next review 2 years from above date or when there is a significant change to the nature of the business or key processes of Legal Aid NSW

Key words Legal, compliance, corporate governance

Revision History

Date Version Reviewed by Changes made

Date of first revision

Date of second revision

Date closed

Printed copies of this document may not be up to date. Ensure you have the latest version before using this document.

Page 1 of 6

Contents Introduction............................................................................................... 3

Organisational and Legislative Context ................................................. 3

Compliance Measures.............................................................................. 4

1. Legal and Compliance Register....................................................... 4

2. Policies Management........................................................................ 4

3. Contracts Management..................................................................... 4

4. Monitoring and Reporting................................................................. 5

5. Continuous Disclosure ..................................................................... 5

Continual improvement............................................................................ 5

Appendices ............................................................................................... 6

Page 2 of 6

Introduction

Legal Aid NSW is committed to maintaining high standards of corporate governance by ensuring compliance with all relevant laws, regulations and government directions.

The Legal Compliance Framework outlines compliance measures undertaken within Legal Aid NSW, which focus on the following important areas of corporate governance:

� Regulatory and Legal Compliance � Policies Management Process � Contracts Management Process � Monitoring and Reporting, and � Continuous Disclosure.

The key objectives of the Legal Compliance Framework are to enable Legal Aid NSW to effectively and efficiently manage compliance risk and to ensure appropriateness and consistency of approach to meeting external and internal compliance requirements.

Organisational and Legislative Context

Legal Aid NSW’s Legal Compliance Framework conforms to international standard AS/ISO 19600:2015 Compliance Management Systems – Guidelines (AS/ISO 19600:2015).

Legal Aid NSW’s CEO has functions and responsibilities under section 17 of the Legal Aid Commission Act 1979 and section 3.6 of the Government Sector Finance Act 2018, which are in line with maintaining high standards of corporate governance e.g. to ensure effective systems of risk management, internal control and assurance are in place.

On an organisational level, Legal Aid NSW has implemented the following key compliance management policies:

• Code of Conduct

• Fraud and Corruption Framework

• Gifts & Benefits Policy

• Public Interest Disclosures Policy

• Delegations Instruments

• Procurement Policy

• Conflict of Interest Policies

• Work Health & Safety Policy

• Privacy Management Plan

• Government Information (Public Access) Act Policies and Guides:

• Continuous Disclosure Policy

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• Agency Information Guide

• GIPA Guidelines for Staff

The senior management of Legal Aid NSW, with the assistance of the Senior Internal Auditor, also undertakes an annual review of the Legal Aid NSW Risk Register, in accordance with its Risk Framework.

Compliance Measures

The Legal Compliance Framework comprises the following measures:

1. Legal and Compliance Register

The Legal and Compliance Register identifies the key legislative and regulatory obligations applicable to Legal Aid NSW, the actions taken to ensure compliance with these obligations and the responsible officer/s.

The Register is managed by the In-house Counsel Unit and updated by each Division annually. Following CEO approval, the Register is sent to the Audit Office as part of Legal Aid NSW’s annual response.

The Legal and Compliance Register is at Appendix A.

2. Policies Management

Legal Aid NSW has implemented a Policies Management Process, which includes the following key aspects:

� Process to be followed for development and approval of policies

� Development of a Policy Library which includes a list of all the policies and procedures applicable to all Divisions and operating processes at Legal Aid NSW

� Timelines for review and monitoring of validity and revision in various policies

� Process to be followed for listing different policies within the Policy Library and on the Legal Aid NSW Intranet, and

� Other important aspects such as training and implementation of key policies.

The Policies Management Process is managed by the Director Policy, Planning and Programs Division. The Policy Library and other relevant material is available on Legal Aid NSW’s intranet.

3. Contracts Management

Legal Aid NSW has implemented a Contracts Management Process, which includes the following key aspects:

� Defining an authorisation matrix for signing contracts, MOU’s and other documents

� Review and monitoring significant or high-risk contract clauses in terms of compliance andservice delivery, and

� Development of a Contracts Register which records all key contracts including contracts over $150,000 in value to which Legal Aid NSW is a party.

The Contracts Management Process is managed by the In-house Counsel Unit in conjunction with the Procurement Officer. Relevant material is available on the intranet.

Page 4 of 6

4. Monitoring and Reporting

The Legal Aid NSW Senior Internal Auditor undertakes the following compliance monitoring and reporting to the senior management of Legal Aid NSW and to the Audit and Risk Committee (ARC):

� Monitoring activities for key compliance matters supported by audit activities and reviews: at each ARC meeting, the ARC is provided with a report on the progress of the Annual Internal Audit Plan and a report on the progress of implementation of recommendations made by external audit and internal audit in prior audits

� Assisting senior management to undertake the annual Risk Register Review in accordance with the Legal Aid NSW Risk Framework: the ARC receives an annual report on thisReview

� Assisting senior management to conduct an annual review and update of the Legal and Compliance Register: the ARC receives an annual report on this Register

� In collaboration with the Director Finance, alerting senior management and the ARC to any significant new or updated legislation and policies impacting Legal Aid NSW: the ARC receives a report on this topic at each ARC meeting

� In collaboration with the Director Finance, identifying any key contracts, associated risks and mitigation plans, and reporting to the ARC as considered appropriate

� Briefing senior management with the details of any significant matters of non-compliance identified by internal audit or external audit and the action taken or proposed to be taken: the ARC is advised of any such matters at each ARC meeting.

The NSW Audit Office conducts an annual audit of the Annual Financial Statements of Legal Aid NSW and reports to the CEO and the Chair of the ARC, any significant findings of non-compliance and related recommendations.

The ARC, in addition to its risk management functions, is responsible for the following in relation to the compliance of Legal Aid NSW with applicable laws and government directions:

� Determining whether management has appropriately considered legal and compliance risks as part of the risk assessment and management arrangements for Legal Aid NSW, and

� Reviewing the effectiveness of the system for monitoring Legal Aid NSW’s compliance with keyapplicable laws and government directions.

5. Continuous Disclosure

Legal Aid NSW ensures continuous disclosure of information related to performance against key indicators and expenditure of funds which is of significant interest to the public and key stakeholders.

The Legal Aid NSW Continuous Disclosure Policy sets out the approach taken by Legal Aid NSW to meet its obligations in relation to reporting and release of information. This Policy is managed by the In-house Counsel Unit.

The Continuous Disclosure Policy is attached at Appendix B.

Continual improvement

Legal Aid NSW ensures continual improvement to the compliance management system by:

� Staff reporting to management instances where they consider obligations are not being complied with, including Public Interest Disclosures

� Investigating any alleged breaches of the agency’s policies including its Code of Conduct, and taking appropriate action, including measures to raise staff awareness of relevant obligations, and escalation as appropriate

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� Implementing an Annual Internal Audit Plan and regularly monitoring the implementation of recommendations made by internal audit

� Annual review of the Legal Compliance Framework and compliance measures

� Legal Aid NSW senior management, the Senior Internal Auditor and the NSW Audit Office reporting to the ARC, any instances of significant non-compliance and increases incompliance risk

� Fraud and Corruption Co-Ordinator overseeing the prevention and detection of fraud and corruption within the agency and reporting any significant incidents to senior management and the ARC.

Appendices

A - Legal and Compliance Register.

B - Continuous Disclosure Policy.

Page 6 of 6

STATEMENT OF COMPLIANCE – LEGAL AID NSW REGULATORY FRAMEWORK

Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer State Records Act 1998 The chief executive of each public

office has a duty to ensure that the public office complies with the requirements of this Act and the regulations and that the requirements of this Act and the regulations with respect to State records that the public office is responsible for are complied with. (Section 10)

CEO’s responsibility to ensure Legal Aid NSW complies with the State Records Act is defined in the organisation’s Records and Information Management Policy.

Director, Information and Communications Technology

(Manager, Corporate Records & Information)

Each public office must ensure the safe custody and proper preservation of the State records that it has control of. (Section 11(1))

Electronic recordkeeping has been rolled out since 2008. The organisation upgraded its corporate recordkeeping system from HP Records Manager version 8.2 (TRIM) to HPE Content Manager version 9.1.3 in late July 2018 to facilitate compliant management of both paper and digital records.

The organisation’s Records and Information Management Policy identifies recordkeeping responsibility from CEO level down. It also provides a framework for an effective and compliant records management program. This Policy is being reviewed to align with the latest organisational structure.

Strategies have been developed and implemented for routine capture and compliant management of business records (in digital format) from the two major business systems (ATLAS and CASES) into TRIM via system integration. These strategies will also be applied in implementing the new Client Case Management System (CCMS) that replaces CASES.



Page 1 of 18 – Amended November 2019

Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer Each public office must make and keep full and accurate records of the activities of the office. (Section 12(1))

This requirement is addressed in Legal Aid NSW’s Records and Information Management Policy. A suite of recordkeeping procedures, advice sheets and on-line training modules on using the recordkeeping system (TRIM) has been developed for staff to follow.

The organisation undertakes regular reviews of the documentation and online training modules to ensure the organisation is compliant with the recordkeeping requirements.



Each public office must establish and maintain a records management program for the public office in conformity with standards and codes of best practice from time to time approved under section 13. (Section 12(2)) (See below for a list of whole of governmenti records management standards issued under the State Records Act).

Legal Aid NSW’s Records Management Program has been established in accordance with State Records’ Standard on records management. It comprises: • Records and Information Management Policy

that directs the Program. • Plans on records/document management

strategies are identified in the Strategic Plan 2018-2023.

• Records classification scheme that has been developed to include both functional and administrative records.

• Application of approved disposal authorities in records disposal. Amendments to the organisation’s Functional Retention and Disposal Authority:FA272 were approved by State Records in August 2017.

• Records management training for staff on how to use the corporate recordkeeping system to manage their records.

The Program is regularly monitored and reviewed.



Each public office must make Legal Aid NSW provides prompt response to State Director, Information and arrangements with the Authority for Records in regard to any arrangements for the Communications Technology the monitoring by the Authority of the monitoring of its Records Management Program. public office's records management


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer program and must report to the Authority, in accordance with arrangements made with the Authority, on the implementation of the public office's records management program. (Section 12(4))

Manager Corporate Records & Information was actively involved in State Records’ 2018 review of their website and surveys.


If a record is in such a form that information can only be produced or made available from it by means of the use of particular equipment or information technology (such as computer software), the public office responsible for the record must take such action as may be necessary to ensure that the information remains able to be produced or made available.(Section 14(1))

This requirement is addressed in the Records Management Program. Business information system owners are required to ensure that technology dependant records remain accessible for the period prescribed in the relevant retention and disposal authority.

The organisation has integrated its business systems to ensure compliant storage and management of electronic records generated/captured by those systems. CASES/TRIM and ATLAS/TRIM integrations have been implemented.

The organisation has developed a guideline for storage of digital information and records to advise staff to capture documents which are deemed to be State records into the organisation’s business and recordkeeping systems.



Public offices may not dispose of State records, transfer their possession or ownership, take or send them out of New South Wales, or alter them, without the approval of State Records. (Section 21)

The requirement to dispose of records in accordance with State Records’ standards is addressed in the Records Management Program.

A suite of procedures and on-line training modules for records disposal has been developed.

A Records Disposal Program for compliant disposal of the organisation’s records has in place since March 2009.




Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer Authorisations for records destruction are obtained from the relevant Directors. Records destruction activities are documented.

Public office records that are The organisation has developed a procedure on Director, Information and required to be kept as part of the Transfer of State archives. Communications Technology State archives must be properly protected while they remain in the Records that are deemed to be State archives have (Manager, Corporate Records public office's custody. As reiterated been identified in the organisation’s functional & Information) in the Standard on the physical retention and disposal authority FA272. The transfer storage of State records, public of State archives will take place on a regular basis. offices should contact State Records to discuss transfer or other options for their permanent preservation when they are no longer required for current business needs. (Part 4)

Each public office must ensure that the State records for which it is responsible and that are over thirty years old are the subject of an access direction. An access direction either opens or closes the records to public access. (Part 6)

Access Directions for records of Legal Aid NSW have been made in accordance with State Records’ procedures and guidelines. They are listed on State Records’ Register of Access Directions.

Access Directions are still valid.



The following are standards issued Legal Aid NSW ensures compliance with State Director, Information and to date under Section 13(1) of the Records’ standards when: Communications Technology State Records Act. • reviewing and developing its Records

Management Program and Records and Information Management Policy

• reviewing and updating its corporate recordkeeping system (TRIM)

• reviewing and developing its recordkeeping procedures



Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer • developing strategies for data and records

migration when replacing its business systems that generate/capture records.

Standard on the physical storage of State records (Approved December 2018)

Manager Facilities had reviewed the draft Standard in October 2018. The requirements in the Standard are applied for office leasing, fitout and furnishing.

Since 2009, all physical records are sent to GRR as the off-site repository (which is a compliant storage repository).

Deputy CEO

(Manager, Facilities)



Standard on records management Legal Aid NSW’s Records Management Program has Director, Information and (Approved October 2014; and been established in accordance with this Standard. Communications Technology amended in October 2018)

The organisation’s Records and Information Management Policy has been reviewed, revised and approved in March 2019..

The organisation applied the principles in the Standard in the development/review of its Functional Records Retention and Disposal Authority: FA272, and records sentencing/disposal activities.


Public Works and A government agency must exercise Legal Aid NSW Procurement Policy and Procurement Director, Finance Procurement Act 1912 its functions in relation to the

procurement of goods in accordance with any policies and directions of the Board and the principles of probity and fairness (s 176(1))

Guideline is aligned with and guided by the NSW Government Procurement Policy Framework, issued by the NSW Procurement Board, and the NSW Procurement Board Directions.

Legal Aid NSW complies with the legislative and administrative framework that includes:

(Procurement Advisor)

• Public Works and Procurement Act 1912


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer • Public Works and Procurement Regulation 2014 • Public Finance and Audit Act 1983 • Government Information (Public Access) Act

2009 • State Records Act 1998 • Commonwealth Disability Discrimination Act

1992 • Work Health and Safety Regulation 2017 • Independent Commission Against Corruption Act

1988

The Board may issue directions to government agencies regarding the procurement of goods and services by and for government agencies (s 175)

Board Directions include: • PBD-2019-04 Approved

procurement arrangement • PBD-2019-10 Access to

government construction procurement opportunities by small and medium sized enterprises

• PBD-2019-02 Telecommunications Procurement

• PBD-2019-01 Engagement of professional services supplies

• PBD-2018-02 Replacement of the ICT Short Form Contract in the Procure IT Framework

• PBD-2017-04 Procuring human services from non-government organisations (NGO)

Legal Aid NSW complies with all Board directions when procuring goods and services.

Director, Finance (Procurement Advisor)

Director, ICT


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer • PBD-2015-02 Agency

accreditation scheme arrangements

NSW Procurement The Policy Framework sets out the Legal Aid NSW, Procurement Advisor (Chief Director, Finance Policy Framework for policy and operating framework for Procurement Officer) is delegated to manage and (Procurement Advisor) NSW Government the NSW public sector procurement oversee the centre lead functions across all business Agencies July 2015 system, and provides a single source

of guidance units.

PBD-2016-01: Approved Defines approved goods and Purchases are made in accordance with Legal Aid Director, Finance procurement services procurement arrangements NSW’s published policies and procedures, which (Procurement Advisor) arrangements from 1 for NSW Government agencies accord with the Direction. July 2016 commencing 1 July 2016.

Purchases are made pursuant to the Financial Delegations. These delegations accord with the Direction.

Building Code of Building standards, safety, egress, Property NSW manage any building works. Deputy CEO Australia (BCA) and accessibility. Consultants are used to review works and ensure

compliance certification.

Staff training /induction with building management conducted for any new maintenance personnel, eg. electricians, plumbers.

Maintenance schedules are maintained for all buildings.

Government Sector Parts 1 and 4 The following covers all areas relating to HR: Director, HR Employment Act 2013 Defines the Public Service,

employment, Departments and other agencies.

• Legal Aid NSW clearly identified in recruitment advertising and related documentation, including appointment letters. Relevant sections of Act also included in such documentation. - All letters of offer templates refer to the GSE Act


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer

Part 4 Division 5 and Part 5 Provides framework for recruitment, management and mobility. Defines conduct, misconduct, unsatisfactory performance & implications.

- Adverts do not clearly refer to the GSE Act. However, there are links to IWorkforNSW and LANSW internet page - Recruitment reports refer to GSE Act compliance. - Recruitment correspondence templates to Hiring Managers refer to GSE Act.

Part 4 Division 4 Defines executive staff and outlines their conditions.

Part 3 Section 16 Prescribes provision of reports and information by agencies.

Part 4 Sections 50,51 and 52 Defines role of the Industrial Relations Secretary in industrial relations proceedings.

• Legal Aid NSW adopts directly a range of operating policies and procedures arising from the various pieces of applicable legislation/regulation prepared by the responsible public sector agencies such as Department of Premier and Cabinet and the Public Service Commission. These are applied according to the specifications contained within those policies/procedures.

• Advice as to changes to applicable legislation, awards and public sector policies is distributed by Department of Premier and Cabinet and the Public Service Commission.

Part 4 Section 59 Defines references to agencies in contracts.

Section 31 Employer functions ofheads of agencies (other thanDepartments) This section makes provision for the head of a statutory body to exercise the employer functions of the Government in respect of persons employed to work in the statutory body.

• Legal Aid NSW has also developed local policy, procedures and systems as required to operationalise aspects of the applicable legislation/regulations. Note: (Not always required where there are sector guidelines).

• All locally developed policy, procedures and systems are revised in accordance with changes advised by Department of Premier and Cabinet and the Public Service Commission as required.

• All such policy, procedures and systems are documented, and current copies kept on either established administrative files registered in Legal Aid NSW’s records management system


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer Section 40 Remuneration, (TRIM) or on the Legal Aid NSW intranet. A benefits and allowances for senior review is currently being organised to be executives completed by December 2019.

Government Sector EmploymentRegulation 2014, Clause 38 Allowances for Public Service senior executives

• Clear documentation of all such changes are duly authorised by delegated officers and updates are highlighted in the documents. Please note: This is dependent on the policy and does not occur

Outlines the monetary remuneration regularly. for Senior Executive Officers and their entitlements to travelling and • All operating policies/procedures include review other allowances. and checking processes to ensure compliance.

Note: a review is currently being organised and Section 65 Cross-agency will be finalised by December 2019. employment Government Sector EmploymentRegulation 2014,Part 3 Division 2 Cross-government sector leave arrangements

• Review/checking processes are regularly undertaken as per the specification of the relevant policy/procedure. Note: a review is currently being organised and will be completed by December 2020.

Refers to the transfer of leave • The internal audit program regularly assesses entitlements from one agency to compliance with sector wide policy and another. legislative/regulatory requirements as well as

Legal Aid NSW’s policy/procedural requirements. Schedule 4 Savings, transitional (Audit to respond). and other provisions Covers all types of leave entitlements and continuity of

• Agreed changes/improvements arising from internal audits are implemented.

service. • Where relevant, policies and procedures relating

to legislative/regulatory requirements are communicated widely to staff and managers across Legal Aid NSW and are readily available on the Intranet.


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer • Training in these policies/procedures is also

conducted as required. (New Projects team includes information about change in their project management framework – including training).

• SAP HR has been implemented within Legal Aid NSW to streamline and automate various HR/payroll related functions.

• SAP HR was implemented in November 2018.

Part 4 Section 32 Staff and Administration Delegations Manual regularly reviewed and updated to reflect any

Director, HR

Head of agency may delegate legislative changes (Not updated since May 2016 – a functions to employees of the agency review is required and will be completed by March

2020).

Anti-Discrimination Act Provides that recruitment is merit The Legal Aid NSW Recruitment Guidelines are Director, HR 1977 based. Prohibits harassment and

bullying in the workplace. Exception consistent with the Public Service Commission Recruitment and selection guide.

Also: for genuine occupational qualification Racial Discrimination Act as a ground for discrimination e.g. The Legal Aid NSW Respect Guidelines approved in 1975 (Cth) Aboriginality for identified positions. February 2016 identify discrimination and

Sex Discrimination Act 1984 (Cth)

harassment as unacceptable behaviours that will not be tolerated.

Disability Discrimination The Reasonable Adjustment Guidelines, which Act 1992 (Cth) provide guidance on making adjustments to the Age Discrimination Act workplace to accommodate disability, are currently 2004 (Cth) being updated.

Legal Aid NSW is working towards obtaining accreditation as a Disability Confident Recruiter.

The Legal Aid NSW Diversity and Inclusion Plan 2018-2019 aims for a diverse and inclusive


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer workplace that recognises and responds to the legal and support needs of diverse staff and clients.

Child Protection (Working with Children) Act 2012

Part 2 Restrictions on child-related work and Part 3 Working with children check clearances

Prohibits an employer from employing a worker in child-related work unless the worker has a working with children check clearance, and provides for a person to apply to the Children’s Guardian for a working with children check clearance.

Section 35 Notification byreporting bodies of conductconstituting assessmentrequirement trigger

Notify the Children's Guardian of any child-related worker who is the subject of a finding by the agency that the worker has engaged in misconduct involving children.

Legal Aid NSW requires all employees who work with children at Juvenile Justice Centres to have a working with children check clearance.

- Hiring Managers manage the WWCC - Business has agreed to these terms

Child Protection Policy approved July 2007, updated April 2010

Director, Criminal Law

(Solicitor in Charge, Children’s Legal Service)

Director, HR

Director, HR

Taxation Administration Act 1953 (Cth),Schedule 1

This Act provides for the compulsory deduction and remittance of taxation amounts from staff salary and wage payments.

As discussed above in relation to the Government Sector Employment Act.

Director, HR

Superannuation Guarantee (Administration) Act 1992 (Cth)

This legislation provides for the compulsory payment and deposit of super to a default or nominated


Director, HR


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer superannuation fund by the employer.

Work Health and Safety Act 2011

Part 2 – Health and safety dutiesDivision 2 – Primary duty of care

Employers are to ensure the health, safety and welfare of all the employees of the employer.

The WHS Framework identifies the systems and processes in place to ensure Legal Aid NSW complies with its obligations.

Director, HR

Part 5 – Consultation, representation and participation

Employers must consult on any matters that affect the health and safety of staff.

Work Health and Safety Consultative Arrangements describes the arrangements for the Health and Safety Committee and Health and Safety Representatives.

Director, HR

Part 6 – Discriminatory, coercive and misleading conduct

An employer must not dismiss an employee for raising any matter that may affect their health, safety or welfare.

The WHS Framework identifies the systems and processes in place to ensure Legal Aid NSW complies with its obligations.

Director, HR

Part 14 – General Division 3 – Regulation-making powers

Employers must comply with relevant regulations.

Part 14 – General Division 2 – Codes of practice

A code of practice may be approved to provide practical guidance to

WHS policies include references to all applicable codes of practice to ensure the health and safety of workers.

Director, HR


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer employers on how to comply with the duties imposed by Part 2 to ensure the health and safety of workers.

Part 3 – Incident notification The Legal Aid NSW Online Safety System incident form captures serious incidents that are notifiable to

The employer must notify SafeWork SafeWork NSW. NSW of any serious incident.

Workers Compensation Act 1987

Part 8 – Protection of injured workers from dismissal

Employers are not to dismiss an injured worker within 6 months from date of injury.

Compliance is monitored through the Draft Return to Work program 2019, currently under consultation

Director, HR

Workplace Injury Management and Workers Compensation Act 1998

Chapter 3 – Workplace injury managementSection 44 Early notification ofworkplace injury

Employers are obliged to notify their insurer within 48 hours of being informed that a work related injury has occurred.

Section 46 Employer's injurymanagement plan obligations

Employers must participate and comply with an injury management plan.

Section 52 Workplacerehabilitation


Compliance is monitored through the Workers Compensation and Injury Management Guidelines (includes Return to Work Program) approved October 2013, currently under review.

Compliance is monitored through the Draft Return to Work program 2019, currently under consultation.

Director, HR


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer Employers are obliged to have a RTW program developed in consultation and prominently displayed.

Section 63 Register of injuries

Each workplace must have a register of injuries.

Section 69 Action by employer in respect of claims

An employer is required to forward on to its insurer within 7 days any documentation in relation to a claim.

Section 243 Disclosure requirements

Employers are not to disclose any information unless authorised to do so.

Industrial Relations Act 1996

Provides framework for award setting, industrial dispute resolutions such as unfair dismissals.

As discussed above in relation to the Government Sector Employment Act. Established Industrial Relations & Workplace Standards Team (2019) as a central point of expertise on Award interpretation, negotiation and consultation with employee groups and to attend to industrial disputes.

Director, HR

Government Information (Public Access) Act 2009

Compliance with the Act in relation to accepting and processing access applications for government information.

Membership of the NSW Government Lawyers Network and the NSW Right to Information/Privacy Practitioners Network ensures that the In-house Counsel Unit is kept informed of changes to legislation affecting government agencies, and the changes in procedures required to ensure compliance.

Director, PPP


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer

The policies and procedures for complying with the Government Information (Public Access) Act are contained in the GIPA Guidelines for Staff, updated in June 2013.

Health Records and Information Privacy Act 2002 and Privacy andPersonal Information Protection Act 1998

Comply via the Department's Privacy Management Plan that informs clients, members of the public and staff of their rights and obligations under the PPIP Act.

The policies and procedures for identifying breaches of the privacy legislation are contained in the Privacy Management Plan, currently under review.

Director, PPP

Annual Reports (Statutory Bodies) Act 1984

Report to the Minister at the end of the financial year on the operations and financial standing of the Department.

The Annual Report legislation is reviewed to ensure compliance with reporting requirements.

Annual Report critical dates are issued in May and managed closely by senior managers from the beginning of June onwards.

Director, Finance

Government Sector Employment Act 2013

Section 69

Deal with employee misconduct in accordance with the Act and Part 8 of the Government Sector Employment (General) Rules 2014.


Director, HR

Ombudsman Act 1974 Part 3A – Child protection

Report to the Ombudsman any reportable allegations or convictions; report to the Ombudsman the results of any investigations concerning reportable allegations or convictions, and the action taken.

Child Protection Policy approved July 2007, updated April 2010

Director, HR


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer Independent Commission Against Corruption Act 1988(ICAC)

Report any suspected corrupt conduct to the ICAC; investigate any matter referred by the ICAC.

The Legal Aid NSW Corruption and Fraud Prevention Plan requires all employees to assist the CEO in fulfilling his responsibility to report potentially corrupt and fraudulent behaviour, with clear responsibility lines established for reporting.

Director, PPP

Public Interest Disclosures Act 1994

Accept protected disclosures from employees concerning corrupt conduct, maladministration and serious and substantial waste, and provide protection for employees making such disclosures.

Legal Aid NSW’s Public Interest Disclosures Act Internal Reporting Policy, November 2016, establishes authorised officers to receive disclosures. An information guide, Public interest disclosures: A guide to Legal Aid NSW’s responsibilities, available on the intranet. Three LMS training modules, PID – Awareness, PID – Management and PID – Reporting, are available to all Legal Aid staff. Senior Executive are trained in their obligations.

Deputy CEO

Fringe Benefits Tax Assessment Act 1986 (Cth)

Comply with the FBT Act. The Department makes quarterly FBT payments to the Australian Taxation Office and submits an annual FBT return.

Officers responsible undertake regular training to ensure understanding and compliance with the FBT Act.

Director, Finance

Payroll Tax Act 2007 Comply with the Payroll Tax Act. Payroll tax payments are made monthly to the OSR by the due date. Annual Payroll Tax Return is submitted on time.

Officers responsible undertake regular training to ensure understanding and compliance with the Payroll Tax Act. Annual Payroll Tax Return has been submitted on time.

Director, Finance

A New Tax System (Goods and Services Tax) Act 1999 (Cth)

Comply with the GST Act related to the sales and purchases of goods and services and monthly BAS reporting to the ATO.

Officers responsible undertake regular training to ensure understanding and compliance with the GST Act.

Director, Finance

Australian Accounting Standards

Comply with the Australian Accounting Standards for treatment of accounting transactions recorded

On-line subscriptions to accounting services ensure financial staff are alerted to any changes in the Australian Accounting Standards.

Director, Finance


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer on the accounting system and all statutory reporting.

NSW Treasury communication also alerts staff to any emerging issues and provides guidance for compliance. Professional development requirements exist for CPA/CA qualified positions(Director and Manager Financial Accounting)

Government Sector The Government Sector Finance Act Legal Aid NSW adopts directly a range of operating Director, Finance Finance Act 2018 2018 (GSF Act) replaces,

consolidates, and updates four separate pieces of legislation that governed public financial management for more than 30 years, including:

•Public Finance and Audit Act 1983

•Public Authorities (Financial Arrangements) Act 1987

•Annual Reports (Statutory Bodies) Act 1984

•Annual Reports (Departments) Act 1985

policies and procedures arising from the Government Sector Finance Act 2018

Data Sharing (Government Sector) Act 2015

The Data Sharing (Government Sector) Act 2015 promotes and facilitates the sharing of government sector data with the government Data Analytics Centre and between other government sector agencies and includes data sharing safeguards.

Legal Aid NSW participates in data sharing initiatives with other government agencies whilst complying with data sharing safeguards in accordance with the Legal Aid NSW Information Security Policies Manual.

Director, ICT

Workplace Surveillance Act 2005

The Workplace Surveillance Act 2015 prohibits the surveillance by employers of their employees at work except where employees have

Compliance is ensured under the Legal Aid NSW CCTV Cameras Policy.

Deputy CEO


Legislation/Regulation Requirements Actions Taken to Ensure Compliance Responsible Officer been given notice or where the employer has a covert surveillance authority. The Act applies to camera surveillance, computer surveillance and tracking surveillance.

Copyright Act 1968 (Cth) The Copyright Act 1968 (Cth) sets out how copyright applies for created material, and deals with the ‘moral rights’ of individual creators. The Act provides that government agencies (referred to in the Act as “the Crown”) are the owners of copyright in original work made, or first published under their direction or control.

Compliance is ensured under the Legal Aid NSW Intellectual Property Management Policy

Director, PPP


CONTINUOUS

DISCLOSURE POLICY

Continuous Disclosure Policy

Item Description

Policy description The approach taken by Legal Aid NSW to meet its continuous disclosure obligations

Division In house Counsel Unit, Policy Planning & Programs

Executive Director Director, Policy Planning & Programs

Contact Manager, In house Counsel Unit

Date approved 4 August 2020

Next review 2 years from above date or when there is a significant change to the nature of the business or key processes of Legal Aid NSW

Key words Continuous disclosure

Revision History

Date Version Reviewed by Changes made

Date of first revision

Date of second revision [etc] [to be filled in when document is closed or superseded] Date closed

Printed copies of this document may not be up to date. Ensure you have the latest version before using this document.

Policy overview Scope and purpose of this policy This Continuous Disclosure policy sets out the approach taken by Legal Aid NSW to meet its continuous disclosure obligations. This policy is a tool of good governance and open government to help build public confidence and trust in Legal Aid NSW by ensuring it is accountable and transparent in its performance against key indicators and use of public funds and resources. Applicability and target groups This policy applies to Legal Aid NSW employees, including ongoing and temporary staff and contractors and consultants. Managers should ensure that all staff members for whom they have managerial responsibility are made aware of this policy and how it applies. If anything in this policy is unclear, or you are unsure about how the policy applies, contact the Manager, In house Counsel Unit. Legislative environment Legal Aid NSW must comply with various legislative requirements for the release of information and reporting. In this regard, this policy takes into account the obligations of Legal Aid NSW under section 13(1) of the Legal Aid Commission Act 1979 (Legal Aid Act), the Annual Reports (Statutory Bodies) Act 1984, and the Government Information (Public Access) Act 2009 (GIPA Act). This policy is developed in accordance with components 12 and 13 of the Audit Office of NSW Governance Lighthouse (updated October 2016).

Definitions and abbreviations Continuous disclosure Continuous disclosure refers to the regular public disclosure by public sector agencies of key performance information that impacts service delivery. This includes performance against key indicators and expenditure of public funds.

Monitoring, evaluation and review This document is to be reviewed every two years or when there is a significant change to the nature of the business or key processes of Legal Aid NSW. See the cover page of this policy for more information about changes to the policy since its release.

Further information, additional resources & associated documents This policy should be read in conjunction with the Legal Aid NSW Guidelines for Staff on the GIPA Act and the Legal Aid NSW Media Policy. For further information or queries about this policy please contact the Manager, In house Counsel Unit.

2 Legal Aid NSW Continuous Disclosure Policy

1. Commitment to continuous disclosure Legal Aid NSW recognises the importance of continuous disclosure as a cornerstone of good governance in providing accountability and transparency relating to performance against key indicators and use of public funds. Legal Aid NSW is committed to providing continuous disclosure to members of the public and key stakeholders through the regular, timely, and accessible disclosure of the information outlined in this policy. 2. Included types of information Legal Aid NSW aims to provide continuous disclosure of information that: a. relates to performance against key indicators or expenditure of public funds b. is of significant public interest such that members of the public would reasonably

expect disclosure by Legal Aid NSW, or is of significant interest to key stakeholders, or disclosure is otherwise required by legislation, and

c. is not an excluded type of information under item 5 below. 3. Key documents Legal Aid NSW will make continuous disclosure primarily through the following documents: a. Legal Aid NSW Annual Report, which includes its Annual Financial Statements b. Legal Aid NSW Strategic Plan c. Legal Aid News d. open access information documents released under the GIPA Act, and/or e. disclosure log as required under the GIPA Act. 4. Access and availability Legal Aid NSW will make continuous disclosure accessible to the public and key stakeholders on an ongoing basis in: a. www.legalaid.nsw.gov.au b. social media posts c. media releases d. brochures and fact sheets e. videos at youtube.com/user/legalaidnsw f. seminars and webinars, and/or g. other locations as appropriate. 5. Excluded types of information The information to be disclosed under item 2(a-b) above does not include:

a. information released in response to applications made by individuals under the GIPA Act

b. information subject to commercial or NSW Cabinet confidentiality c. information subject to confidentiality under ss 25 and/or 26 of the Legal Aid Act d. information subject to legal professional privilege, statutory non-disclosure

provisions or public interest immunity, and/or e. any other confidential information or personal information subject to privacy or health

privacy legislation.

3 Legal Aid NSW Continuous Disclosure Policy

www.legalaid.nsw.gov.au

Documents

Legal Compliance Framework · 2020. 8. 19. · Introduction . Legal Aid NSW is committed to maintaining high standards of corporate governance by ensuring compliance with all relevant